Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
- Peter Lynch
What is insider trading>>
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 4)*
ABIOMED, Inc.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, par value $0.01 per share
- --------------------------------------------------------------------------------
(Title of Class of Securities)
003654100
- --------------------------------------------------------------------------------
(CUSIP Number)
- --------------------------------------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
13G is filed:
[_] Rule 13d-1 (b)
[X] Rule 13d-1 (c)
[_] Rule 13d-1 (d)
* The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which could alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
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CUSIP NO. 003654100 SCHEDULE 13G PAGE 2 OF 6 PAGES
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1. NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Dr. David M. Lederman, husband of Ms. Natalie F. Lederman
- --------- ----------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) [_]
(b) [_]
- --------- ----------------------------------------------------------------------
3. SEC USE ONLY
- --------- ----------------------------------------------------------------------
4. CITIZENSHIP OR PLACE OF ORGANIZATION:
United States
- --------------------------------------------------------------------------------
5. SOLE VOTING POWER:
855,000
------ --------------------------------------------------
NUMBER 6. SHARED VOTING POWER:
OF SHARES
BENEFICIALLY 0
OWNED BY ------ --------------------------------------------------
EACH 7. SOLE DISPOSITIVE POWER:
REPORTING
PERSON WITH 855,000
------ --------------------------------------------------
8. SHARED DISPOSITIVE POWER:
0
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
855,000
- --------- ----------------------------------------------------------------------
10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS)
[_]
- --------- ----------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
2.7%
- --------- ----------------------------------------------------------------------
12. TYPE OF REPORTING PERSON: (SEE INSTRUCTIONS)
IN
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Page 2 of 6 Pages
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CUSIP NO. 003654100 SCHEDULE 13G PAGE 3 OF 6 PAGES
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1. NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Ms. Natalie F. Lederman, wife of Dr. David M. Lederman
- --------- ----------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) [_]
(b) [_]
- --------- ----------------------------------------------------------------------
3. SEC USE ONLY
- --------- ----------------------------------------------------------------------
4. CITIZENSHIP OR PLACE OF ORGANIZATION:
United States
- --------------------------------------------------------------------------------
5. SOLE VOTING POWER:
545,700
------ --------------------------------------------------
NUMBER 6. SHARED VOTING POWER:
OF SHARES
BENEFICIALLY 0
OWNED BY ------ --------------------------------------------------
EACH 7. SOLE DISPOSITIVE POWER:
REPORTING
PERSON WITH 545,700
------ --------------------------------------------------
8. SHARED DISPOSITIVE POWER:
0
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
545,700
- --------- ----------------------------------------------------------------------
10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS)
[_]
- --------- ----------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
1.7%
- --------- ----------------------------------------------------------------------
12. TYPE OF REPORTING PERSON: (SEE INSTRUCTIONS)
IN
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Page 3 of 6 Pages
ITEM 1(a). NAME OF ISSUER: ABIOMED, Inc.
ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
22 Cherry Hill Drive, Danvers, Massachusetts 01923
ITEM 2(a). NAME OF PERSON FILING: Dr. David M. Lederman, husband of Ms.
Natalie F. Lederman, and Ms. Natalie F. Lederman, wife of Dr.
David M. Lederman
ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR, IF NONE, RESIDENCE:
c/o Analytical LLC, P.O. Box 7015, Beverly, MA 01915
ITEM 2(c). CITIZENSHIP: United States
ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, par value $0.01 per share
ITEM 2(e). CUSIP NO.: 003654100
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SS.SS. 240.13d-1(b) OR
240.13-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A:
(a) [_] Broker or dealer registered under section 15 of the Act
(15 U.S.C. 78o).
(b) [_] Bank as defined in section 3(a)(6) of the Act (15 U.S.C.
78c).
(c) [_] Insurance company as defined in section 3(a)(19) of the Act
(15 U.S.C. 78c).
(d) [_] Investment company registered under section 8 of the
Investment Company Act of 1940 (15 U.S.C 80a-8).
(e) [_] An investment adviser in accordance with
ss.240.13d-1(b)(1)(ii)(E);
(f) [_] An employee benefit plan or endowment fund in accordance with
ss.240.13d-1(b)(1)(ii)(F);
(g) [_] A parent holding company or control person in accordance with
ss.240.13d-1(b)(1)(ii)(G);
(h) [_] A savings associations as defined in Section 3(b) of the
Federal Deposit Insurance Act (12 U.S.C. 1813);
(i) [_] A church plan that is excluded from the definition of an
investment company under section 3(c)(14) of the Investment
Company Act of 1940 (15 U.S.C. 80a-3);
(j) [_] Group, in accordance with ss.240.13d-1(b)(1)(ii)(J).
Page 4 of 6 Pages
ITEM 4. OWNERSHIP
(a) Amount Beneficially Owned: As of April 10, 2007, Dr. Lederman
beneficially owns 855,000 shares of Common Stock, which amount
includes 355,000 shares of Common Stock issuable upon the
exercise of stock options that are currently vested, or which
will vest within 60 days of the date of this filing. Ms. Lederman
beneficially owns 545,700 shares of Common Stock. Each of them
disclaims beneficial ownership of the shares held by the other.
(b) Percent of Class: Dr. Lederman 2.7%; Ms. Lederman 1.7%; Total
4.4%.
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote:
Dr. Lederman: 855,000 shares
Ms. Lederman: 545,700 shares
Total: 1,400,700 shares
(ii) Shared power to vote or direct the vote: 0
(iii) Sole power to dispose or to direct the disposition of:
Dr. Lederman: 855,000 shares
Ms. Lederman: 545,700 shares
Total: 1,400,700 shares
(iv) shared power to dispose or to direct the disposition of: 0
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
If this statement is being filed to report the fact that as of the
date hereof the reporting person has ceased to be the beneficial
owner of more than five percent of the class of securities, check the
following [X].
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON
Not Applicable.
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED
THE SECURITY BEING REPORTED BY THE PARENT HOLDING COMPANY OR CONTROL
PERSON
Not Applicable.
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP
Not Applicable.
ITEM 9. NOTICE OF DISSOLUTION OF GROUP
Not Applicable.
Page 5 of 6 Pages
ITEM 10. CERTIFICATION
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were not acquired and are
not held for the purpose of or with the effect of changing or
influencing the control of the issuer of the securities and were not
acquired and are not held in connection with or as a participant in
any transaction having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and
correct.
/s/ David M. Lederman
--------------------------------
David M. Lederman, Ph.D.
April 10, 2007
--------------------------------
Date
/s/ Natalie F. Lederman
--------------------------------
Natalie F. Lederman
April 10, 2007
--------------------------------
Date
Page 6 of 6 Pages