-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, G7NC5EMkHnxlI8pUvIhk78l6jRLoAxmriWrLvfh0Sisbj29aQ/s3KK8LI6v8hyhe 6p/UK51KX41qH2mDrbVYJA== 0000927016-97-000541.txt : 19970223 0000927016-97-000541.hdr.sgml : 19970223 ACCESSION NUMBER: 0000927016-97-000541 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970221 SROS: NASD GROUP MEMBERS: DR. DAVID M. LEDERMAN GROUP MEMBERS: LEDERMAN DAVID M SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ABIOMED INC CENTRAL INDEX KEY: 0000815094 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 042743260 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-38995 FILM NUMBER: 97540715 BUSINESS ADDRESS: STREET 1: 33 CHERRY HILL DR CITY: DANVERS STATE: MA ZIP: 01923 BUSINESS PHONE: 5087775410 MAIL ADDRESS: STREET 1: 33 CHERRY HILL DRIVE CITY: DANVERS STATE: MA ZIP: 01923 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LEDERMAN DAVID M CENTRAL INDEX KEY: 0000940686 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 33 CHERRY HILL DRIVE CITY: DANVERS STATE: MA ZIP: 01923 BUSINESS PHONE: 5087775410 SC 13G/A 1 SCHEDULE 13-G/A ---------------------------- OMB APPROVAL ---------------------------- OMB Number: 3235-0415 Expires: October 31, 1997 Estimated average burden hours per response . . 14.90 ---------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* ABIOMED, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 Par Value - -------------------------------------------------------------------------------- (Title of Class of Securities) 003654-10-0 - -------------------------------------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with the statement [_]. (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *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 would alter disclosures provided in a prior cover page. The information required on 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). - ----------------------- --------------------- CUSIP NO. 003654-10-0 13G PAGE 2 OF 6 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Dr. David M. Lederman - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] N/A (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S.A - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 749,800 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 0 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 749,800 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 0 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 0 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES 10 CERTAIN SHARES* [_] X - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 10.7% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! - ----------------------- --------------------- CUSIP NO. 003654-10-0 13G PAGE 3 OF 6 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Ms. Natalie F. Lederman - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] N/A (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S.A - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 744,400 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 0 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 744,400 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 0 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 744,400 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES 10 CERTAIN SHARES* [_] X - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 10.7% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! ITEM 1(A) Name of Issuer: ABIOMED, Inc. ITEM 1(B) Address of Issuer's Principal Executive Offices: 33 Cherry Hill Drive, Danvers, Massachusetts 01923 ITEM 2(A) Name of Person Filing: David M. Lederman and Natalie F. Lederman ITEM 2(B) Address of Principal Business Office or, if none, Residence: 33 Cherry Hill Drive, Danvers, Massachusetts 01923 ITEM 2(C) Citizenship: USA ITEM 2(D) Title of Class of Securities: Common Stock, $.01 par value ITEM 2(E) CUSIP Number: 003654-10-0 ITEM 3 Not Applicable ITEM 4 Ownership: (a) Amount Beneficially Owned: David M. Lederman owns 749,800 shares of Common Stock. Natalie Lederman, his spouse, owns 744,400 shares of Common Stock. Each of Dr. Lederman and Ms. Lederman disclaims beneficial ownership of the shares held by the other. (b) Percent of Class: Dr. Lederman: 10.7 % Ms. Lederman: 10.7 % ------- Total: 21.4 % (c) Number of Shares as to which such person has: (i) sole power to vote or to direct the vote: Dr. Lederman: 749,800 shares Ms. Lederman: 744,400 shares ---------------- Total: 1,494,200 shares (ii) shared power to vote or to direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: Dr. Lederman: 749,800 shares Ms. Lederman: 744,400 shares ---------------- Total: 1,494,200 shares (iv) shared power to dispose or to direct the disposition of: 0 ITEM 5 Ownership of Five Percent or Less of Class: Not Applicable 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 on By the Parent Holding Company: Not Applicable ITEM 8 Identification and Classification of Members of the Group: Not Applicable ITEM 9 Notice of Dissolution of Group: Not Applicable ITEM 10 Certification: Not Applicable 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. February 10, 1997 February 10, 1997 - ------------------------------ --------------------------------- Date Date - ---- ---- /s/David M. Lederman /s/Natalie F. Lederman - ------------------------------ --------------------------------- Signature Signature David M. Lederman Natalie F. Lederman - ------------------------------ --------------------------------- Name Name ---------------------------- OMB APPROVAL ---------------------------- OMB Number: 3235-0415 Expires: October 31, 1997 Estimated average burden hours per response . . 14.90 ---------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ABIOMED, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 Par Value - -------------------------------------------------------------------------------- (Title of Class of Securities) 003654-10-0 - -------------------------------------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with the statement [X]. (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *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 would alter disclosures provided in a prior cover page. The information required on 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). Page 1 of 5 Pages - ----------------------- --------------------- CUSIP NO. 003654-10-0 13G PAGE 2 OF 5 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Dr. David M. Lederman - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] N/A (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S.A - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 1,719,100 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 0 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 1,719,100 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 None - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 1,719,100 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES 10 CERTAIN SHARES* [_] X - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 46.1% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! ITEM 1(A) Name of Issuer: ABIOMED, Inc. ITEM 1(B) Address of Issuer's Principal Executive Offices: 33 Cherry Hill Drive, Danvers, Massachusetts 01923 ITEM 2(A) Name of Person Filing: David M. Lederman ITEM 2(B) Address of Principal Business Office or, if none, Residence: 33 Cherry Hill Drive, Danvers, Massachusetts 01923 ITEM 2(C) Citizenship: USA ITEM 2(D) Title of Class of Securities: Common Stock, $.01 par value ITEM 2(E) CUSIP Number: 003654-10-0 ITEM 3 Not Applicable ITEM 4 Ownership: (a) Amount Beneficially Owned: 1,719,100 shares, including 1,428,000 shares of Class A Common Stock which are convertible into the same number of shares of Common Stock. Does not include 129,600 shares of Common Stock held by members of the filing person's family or trusts for the benefit of such members for which the filing person disclaims beneficial ownership. (b) Percent of Class: 46.1% (c) Number of Shares as to which such person has: (i) sole power to vote or to direct the vote: 1,719,100 shares (ii) shared power to vote or to direct the vote: None (iii) sole power to dispose or to direct the disposition of: 1,719,000 shares (iv) shared power to dispose or to direct the disposition of: None ITEM 5 Ownership of Five Percent or Less of Class: Not Applicable 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 on By the Parent Holding Company: Not Applicable ITEM 8 Identification and Classification of Members of the Group: Not Applicable ITEM 9 Notice of Dissolution of Group: Not Applicable ITEM 10 Certification: Not Applicable 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. February 12, 1988 - ------------------------ Date /s/David M. Lederman - ------------------------ Signature David M. Lederman, CEO - ------------------------ Name/Title -----END PRIVACY-ENHANCED MESSAGE-----