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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) (2) | $ 9.05 | 04/05/2005(5) | 04/05/2014 | Common Stock | 100,000 | 100,000 | D | ||||||||
Stock Option (right to buy) (3) | $ 9.05 | 07/25/2008 | M | 5,817 (1) | 04/05/2005(5) | 04/05/2014 | Common Stock | 192,200 | $ 0 | 186,383 | D | ||||
Stock Option (right to buy) (4) | $ 9.05 | 04/05/2005(5) | 04/05/2014 | Common Stock | 100,000 | 100,000 | D | ||||||||
Stock Option (right to buy) (3) | $ 9.36 | 06/08/2006(5) | 06/08/2015 | Common Stock | 100,000 | 100,000 | D | ||||||||
Stock Option (right to buy) (3) | $ 13.57 | 06/01/2007(5) | 06/01/2016 | Common Stock | 260,000 | 260,000 | D | ||||||||
Stock Option (right to buy) (3) | $ 11.27 | 05/30/2008(5) | 05/30/2017 | Common Stock | 85,000 | 85,000 | D | ||||||||
Stock Option (right to buy) (3) | $ 13.8 | 05/23/2009(5) | 05/23/2018 | Common Stock | 43,333 | 43,333 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MINOGUE MICHAEL R C/O ABIOMED, INC., 22 CHERRY HILL DRIVE DANVERS, MA 01923 |
X | President, CEO, Chairman |
/s/ Daniel J. Sutherby (by power of attorney) | 07/29/2008 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Stock option was exercised and the underlying shares sold pursuant to a Sales Plan compliant with the requirements of SEC Rule 10b5-1. |
(2) | Grant to reporting person of option to buy shares of Common Stock under the ABIOMED, Inc. 1998 Equity Incentive Plan. |
(3) | Grant to reporting person of option to buy shares of Common Stock under the ABIOMED, Inc. 2000 Stock Incentive Plan. |
(4) | Grant to reporting person of inducement option to buy shares of Common Stock under NASDAQ Marketplace Rule 4350. These options were granted outside of the Company's established stock option plans. |
(5) | These options become exercisable in annual 25% increments, commencing on the date shown in Table II, Column 6. |
(6) | The weighted average price of 20.01 is a result of the following sales: 400 shares at 20.04, 300 shares at 20.0375, 300 shares at 20.01, 400 shares at 20.03, 3400 shares at 20.00 and 1017 shares at 20.02. |