0001193125-16-461671.txt : 20160212 0001193125-16-461671.hdr.sgml : 20160212 20160212125501 ACCESSION NUMBER: 0001193125-16-461671 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20160212 DATE AS OF CHANGE: 20160212 GROUP MEMBERS: ESSEX WOODLANDS HEALTH VENTURES FUND VI, L.P. GROUP MEMBERS: ESSEX WOODLANDS HEALTH VENTURES VI, L.L.C. GROUP MEMBERS: ESSEX WOODLANDS HEALTH VENTURES VI, L.P. GROUP MEMBERS: ESSEX WOODLANDS HEALTH VENTURES VII, L.L.C. GROUP MEMBERS: ESSEX WOODLANDS HEALTH VENTURES VII, L.P. GROUP MEMBERS: IMMANUEL THANGARAJ GROUP MEMBERS: JAMES L. CURRIE GROUP MEMBERS: JEFF HIMAWAN GROUP MEMBERS: MARTIN P. SUTTER GROUP MEMBERS: PETRI VAINIO GROUP MEMBERS: RON EASTMAN 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: 161417112 BUSINESS ADDRESS: STREET 1: 22 CHERRY HILL DR CITY: DANVERS STATE: MA ZIP: 01923 BUSINESS PHONE: 9787775410 MAIL ADDRESS: STREET 1: 22 CHERRY HILL DRIVE CITY: DANVERS STATE: MA ZIP: 01923 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ESSEX WOODLANDS HEALTH VENTURES FUND VII LP CENTRAL INDEX KEY: 0001367998 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 21 WATERWAY AVENUE STREET 2: SUITE 225 CITY: THE WOODLANDS STATE: TX ZIP: 77380 BUSINESS PHONE: 2813648338 MAIL ADDRESS: STREET 1: 21 WATERWAY AVENUE STREET 2: SUITE 225 CITY: THE WOODLANDS STATE: TX ZIP: 77380 SC 13G/A 1 d126454dsc13ga.htm SC 13G/A SC 13G/A

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 2)*

 

 

ABIOMED, INC.

(Name of Issuer)

Common Stock, par value $0.001 per share

(Title of Class of Securities)

003654100    

(CUSIP Number)

Martin P. Sutter

Essex Woodlands Health Ventures Fund VI, L.P.

Essex Woodlands Health Ventures Fund VII, L.P.

21 Waterway Avenue, Suite 225

The Woodlands, Texas 77380

(281) 364-1555

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

December 31, 2015

(Date of Event which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule 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 would 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).

 

 

 


SCHEDULE 13G

 

CUSIP No. 003654100   Page 2 of 21 Pages

 

  1   

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Essex Woodlands Health Ventures Fund VI, L.P.

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  x

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

   5    

SOLE VOTING POWER

 

946,818

   6   

SHARED VOTING POWER

 

-0-

   7   

SOLE DISPOSITIVE POWER

 

946,818

   8   

SHARED DISPOSITIVE POWER

 

-0-

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

946,818

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  ¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

2.2%

12  

TYPE OF REPORTING PERSON

 

PN


CUSIP No. 003654100

      Page 3 of 21 Pages

 

 

  1   

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Essex Woodlands Health Ventures VI, L.P.

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  x

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

   5    

SOLE VOTING POWER

 

946,818

   6   

SHARED VOTING POWER

 

-0-

   7   

SOLE DISPOSITIVE POWER

 

946,818

   8   

SHARED DISPOSITIVE POWER

 

-0-

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

946,818

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  ¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

2.2%

12  

TYPE OF REPORTING PERSON

 

PN


CUSIP No. 003654100

      Page 4 of 21 Pages

 

 

  1   

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Essex Woodlands Health Ventures VI, L.L.C.

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  x

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

   5    

SOLE VOTING POWER

 

946,818

   6   

SHARED VOTING POWER

 

-0-

   7   

SOLE DISPOSITIVE POWER

 

946,818

   8   

SHARED DISPOSITIVE POWER

 

-0-

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

946,818

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  ¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

2.2%

12  

TYPE OF REPORTING PERSON

 

OO


CUSIP No. 003654100

      Page 5 of 21 Pages

 

 

  1   

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Essex Woodlands Health Ventures Fund VII, L.P.

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  x

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

   5    

SOLE VOTING POWER

 

1,203,182

   6   

SHARED VOTING POWER

 

-0-

   7   

SOLE DISPOSITIVE POWER

 

1,203,182

   8   

SHARED DISPOSITIVE POWER

 

-0-

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,203,182

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  ¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

2.9%

12  

TYPE OF REPORTING PERSON

 

PN


CUSIP No. 003654100

      Page 6 of 21 Pages

 

 

  1   

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Essex Woodlands Health Ventures VII, L.P.

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  x

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

   5    

SOLE VOTING POWER

 

1,203,182

   6   

SHARED VOTING POWER

 

-0-

   7   

SOLE DISPOSITIVE POWER

 

1,203,182

   8   

SHARED DISPOSITIVE POWER

 

-0-

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,203,182

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  ¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

2.9%

12  

TYPE OF REPORTING PERSON

 

PN


CUSIP No. 003654100

      Page 7 of 21 Pages

 

 

  1   

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Essex Woodlands Health Ventures VII, L.L.C.

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  x

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

   5    

SOLE VOTING POWER

 

1,203,182

   6   

SHARED VOTING POWER

 

-0-

   7   

SOLE DISPOSITIVE POWER

 

1,203,182

   8   

SHARED DISPOSITIVE POWER

 

-0-

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,203,182

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  ¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

2.9%

12  

TYPE OF REPORTING PERSON

 

OO


CUSIP No. 003654100

      Page 8 of 21 Pages

 

 

  1   

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

James L. Currie

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  x

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

United States

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

   5    

SOLE VOTING POWER

 

-0-

   6   

SHARED VOTING POWER

 

2,150,000

   7   

SOLE DISPOSITIVE POWER

 

-0-

   8   

SHARED DISPOSITIVE POWER

 

2,150,000

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

2,150,000

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  ¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

5.1%

12  

TYPE OF REPORTING PERSON

 

IN


CUSIP No. 003654100

      Page 9 of 21 Pages

 

 

  1   

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Martin P. Sutter

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  x

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

United States

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

   5    

SOLE VOTING POWER

 

162,372

   6   

SHARED VOTING POWER

 

2,150,000

   7   

SOLE DISPOSITIVE POWER

 

162,372

   8   

SHARED DISPOSITIVE POWER

 

2,150,000

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

2,312,372

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  ¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

5.4%

12  

TYPE OF REPORTING PERSON

 

IN


CUSIP No. 003654100

      Page 10 of 21 Pages

 

 

  1   

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Immanuel Thangaraj

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  x

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

United States

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

   5    

SOLE VOTING POWER

 

-0-

   6   

SHARED VOTING POWER

 

2,150,000

   7   

SOLE DISPOSITIVE POWER

 

-0-

   8   

SHARED DISPOSITIVE POWER

 

2,150,000

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

2,150,000

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  ¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

5.1%

12  

TYPE OF REPORTING PERSON

 

IN


CUSIP No. 003654100

      Page 11 of 21 Pages

 

 

  1   

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Jeff Himawan

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  x

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

United States

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

   5    

SOLE VOTING POWER

 

-0-

   6   

SHARED VOTING POWER

 

2,150,000

   7   

SOLE DISPOSITIVE POWER

 

-0-

   8   

SHARED DISPOSITIVE POWER

 

2,150,000

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

2,150,000

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  ¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

5.1%

12  

TYPE OF REPORTING PERSON

 

IN


CUSIP No. 003654100

      Page 12 of 21 Pages

 

 

  1   

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Petri Vainio

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  x

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

United States

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

   5    

SOLE VOTING POWER

 

-0-

   6   

SHARED VOTING POWER

 

2,150,000

   7   

SOLE DISPOSITIVE POWER

 

-0-

   8   

SHARED DISPOSITIVE POWER

 

2,150,000

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

2,150,000

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  ¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

5.1%

12  

TYPE OF REPORTING PERSON

 

IN


CUSIP No. 003654100

      Page 13 of 21 Pages

 

 

  1   

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Ron Eastman

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  x

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

United States

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

   5    

SOLE VOTING POWER

 

-0-

   6   

SHARED VOTING POWER

 

1,203,182

   7   

SOLE DISPOSITIVE POWER

 

-0-

   8   

SHARED DISPOSITIVE POWER

 

1,203,182

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,203,182

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  ¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

2.9%

12  

TYPE OF REPORTING PERSON

 

IN


ORIGINAL REPORT ON SCHEDULE 13G/A

Item 1.

 

  (a) Name of Issuer: ABIOMED, INC.

 

  (b) Address of Issuer’s Principal Executive Offices:

22 Cherry Hill Drive

Danvers, Massachusetts 01923

Item 2.

(a) Name of Person Filing: This Schedule 13G/A is being filed jointly by Essex Woodlands Health Ventures Fund VI, L.P., a Delaware limited partnership (“Essex VI”), Essex Woodlands Health Ventures Fund VII, L.P., a Delaware limited partnership (“Essex VII”, and together with Essex VI, the “Funds”), Essex Woodlands Health Ventures VI, L.P., a Delaware limited partnership, the general partner of Essex VI (the “Essex VI GP”), Essex Woodlands Health Ventures VII, L.P., a Delaware limited partnership, the general partner of Essex VII (the “Essex VII GP” and together with the Essex VI GP, the “Fund GPs”), Essex Woodlands Health Ventures VI, L.L.C., a Delaware limited liability company, the general partner of Essex VI GP (the “Essex VI General Partner”), Essex Woodlands Health Ventures VII, L.L.C., a Delaware limited company, (“Essex VII General Partner” and together with Essex VI General Partner, the “General Partners”), James L. Currie, an individual, Martin P. Sutter, an individual, Immanuel Thangaraj, an individual, Petri Vainio, an individual, Jeff Himawan, an individual, and Ron Eastman, an individual, (each a “Manager”, collectively, the “Managers”, and together with the Funds, Fund GPs and the General Partners, the “Reporting Persons”).

(b) Address of Principal Business Office: The address of the principal business of each of the Reporting Persons is 21 Waterway, Suite 225, The Woodlands, Texas 77380.

(c) Citizenship: (i) Essex Woodlands Health Ventures Fund VI, L.P. is a Delaware limited partnership; (ii) Essex Woodlands Health Ventures VI, L.P. is a Delaware limited partnership, (iii) Essex Woodlands Health Ventures VI, L.L.C. is a Delaware limited liability company; (iv) Essex Woodlands Health Ventures Fund VII, L.P. is a Delaware limited partnership; (v) Essex Woodlands Health Ventures VII, L.P. is a Delaware limited partnership, (vi) Essex Woodlands Health Ventures VII, L.L.C. is a Delaware limited liability company; (iv) James L. Currie, Martin P. Sutter, Immanuel Thangaraj, Petri Vainio, Jeff Himawan and Ron Eastman are all individuals who are citizens of the United States.

(d) Title and Class of Securities: Common Stock, par value $.001 per share

(e) CUSIP Number: 003654100

Item 3. If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-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 240.13d-1(b)(1)(ii)(E);
 

(f)

   ¨         An employee benefit plan or endowment fund in accordance with 240.13d-1(b)(1)(ii)(F);
 

(g)

   ¨         A parent holding company or control person in accordance with 240.13d-1(b)(1)(ii)(G);
 

(h)

   ¨         A savings association 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 240.13d-1(b)(1)(ii)(J).

Item 4. Ownership.

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

(a) Amount Beneficially Owned.

For each of Essex VI, the Essex VI GP and the Essex VI General Partner, 946,818 shares.

For each of Essex VII, the Essex VII GP and the Essex VII General Partner, 1,203,182 shares.

For the Manager: Martin P. Sutter, 2,312,372 shares.

For each of the Managers: James L. Currie, Immanuel Thangaraj, Petri Vainio and Jeff Himawan, 2,150,000 shares.

For the Manager: Ron Eastman, 1,203,182 shares.

 

(b) Percent of Class.

For each of Essex VI, the Essex VI GP and the Essex VI General Partner, 2.2%.

For each of Essex VII, the Essex VII GP and the Essex VII General Partner, 2.9%.

For the Manager: Martin P. Sutter, 5.4%.

For each of the Managers: James L. Currie, Immanuel Thangaraj, Petri Vainio and Jeff Himawan, 5.1%.

For the Manager: Ron Eastman, 2.9%.

 

(c) Number of shares as to which such person has:

(i) Sole power to vote or to direct the vote:

For each of Essex VI, the Essex VI GP and the Essex VI General Partner, 946,818 shares.


For each of Essex VII, the Essex VII GP and the Essex VII General Partner, 1,203,182 shares.

For the Manager: Martin P. Sutter, 162,372 shares.

(ii) Shared power to vote or to direct the vote:

For each of the Managers: James L. Currie, Martin P. Sutter, Immanuel Thangaraj, Petri Vainio and Jeff Himawan, 2,150,000 shares.

For the Manager: Ron Eastman, 1,203,182 shares.

(iii) Sole power to dispose or to direct the disposition of:

For each of Essex VI, the Essex VI GP and the Essex VI General Partner, 946,818 shares.

For each of Essex VII, the Essex VII GP and the Essex VII General Partner, 1,203,182 shares.

For the Manager: Martin P. Sutter, 162,372 shares.

(iv) Shared power to dispose or to direct the disposition of:

For each of the Managers: James L. Currie, Martin P. Sutter, Immanuel Thangaraj, Petri Vainio and Jeff Himawan, 2,150,000 shares.

For the Manager: Ron Eastman, 1,203,182 shares.

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  ¨.

Item 6. Ownership of More than Five Percent on Behalf of Another Person

N/A

Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company

N/A

Item 8. Identification and Classification of Members of the Group

N/A

Item 9. Notice of Dissolution of Group

N/A


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 the purpose or effect.


SIGNATURES

After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.

Date: February 12, 2016

 

ESSEX WOODLANDS HEALTH VENTURES FUND VI, L.P.

   INDIVIDUALS:

By:

  Essex Woodlands Health Ventures VI, L.P.,         
      Its General Partner         

By:

  Essex Woodlands Health Ventures VI, .L.L.C.,      

            /s/ James L. Currie

      Its General Partner       Name: James L. Currie

By:

 

    /s/ Martin P. Sutter

     

            /s/ Martin P. Sutter

      Name: Martin P. Sutter       Name: Martin P. Sutter
      Title:   Managing Director         

ESSEX WOODLANDS HEALTH VENTURES VI, L.P.

  

            /s/ Immanuel Thangaraj

           Name: Immanuel Thangaraj

By:

  Essex Woodlands Health Ventures VI, .L.L.C.,         
      Its General Partner         

By:

 

    /s/ Martin P. Sutter

     

            /s/ Jeff Himawan

      Name: Martin P. Sutter       Name: Jeff Himawan
      Title:   Managing Director         
          

            /s/ Petri Vainio

ESSEX WOODLANDS HEALTH VENTURES VI, L.L.C.

   Name: Petri Vainio

By:

 

    /s/ Martin P. Sutter

        

Name:

      Martin P. Sutter         

Title:

      Managing Director         


ESSEX WOODLANDS HEALTH VENTURES FUND VII, L.P.    INDIVIDUALS:   
By:   Essex Woodlands Health Ventures VII, L.P.,         
      Its General Partner            
          

            /s/ Ron Eastman

By:   Essex Woodlands Health Ventures VII, .L.L.C.,       Name: Ron Eastman
      Its General Partner            
By:  

    /s/ Martin P. Sutter

        
      Name: Martin P. Sutter         
      Title:   Managing Director         
ESSEX WOODLANDS HEALTH VENTURES VII, L.P.      
By:   Essex Woodlands Health Ventures VII, .L.L.C.,         
      Its General Partner            
By:  

    /s/ Martin P. Sutter

        
      Name: Martin P. Sutter            
      Title:   Managing Director            
ESSEX WOODLANDS HEALTH VENTURES VII, L.L.C.      
By:  

    /s/ Martin P. Sutter

        
Name:       Martin P. Sutter            
Title:       Managing Director            
EX-99.1 2 d126454dex991.htm EX-99.1 EX-99.1

Exhibit 1

JOINT FILING AGREEMENT

Each of the undersigned agrees that (i) the statement on Schedule 13G/A relating to the Common Stock of Abiomed, Inc., has been adopted and filed on behalf of each of them, (ii) all future amendments to such statement on Schedule 13G/A will, unless written notice to the contrary is delivered as described below, be jointly filed on behalf of each of them, and (iii) the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934 apply to each of them. This agreement may be terminated with respect to the obligations to jointly file future amendments to such statement on Schedule 13G/A as to any of the undersigned upon such person giving written notice thereof to each of the other persons signature hereto, at the principal office thereof.

This Agreement may be executed in any number of counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument.

Date: February 12, 2016

 

ESSEX WOODLANDS HEALTH VENTURES FUND VI, L.P.    INDIVIDUALS:
By:   Essex Woodlands Health Ventures VI, L.P.,         
      Its General Partner         
     

            /s/ James L. Currie

By:   Essex Woodlands Health Ventures VI, .L.L.C.,       Name: James L. Currie
      Its General Partner         
By:  

    /s/ Martin P. Sutter

     

            /s/ Martin P. Sutter

      Name:Martin P. Sutter       Name: Martin P. Sutter
      Title:  Managing Director         
        
ESSEX WOODLANDS HEALTH VENTURES VI, L.P.   

            /s/ Immanuel Thangaraj

      Name: Immanuel Thangaraj
By:   Essex Woodlands Health Ventures VI, .L.L.C.,         
      Its General Partner         
By:  

    /s/ Martin P. Sutter

     

            /s/ Jeff Himawan

      Name: Martin P. Sutter       Name: Jeff Himawan
      Title:   Managing Director         
     

            /s/ Petri Vainio

ESSEX WOODLANDS HEALTH VENTURES VI, L.L.C.    Name: Petri Vainio
By:  

    /s/ Martin P. Sutter

        
Name:       Martin P. Sutter         
Title:       Managing Director         


ESSEX WOODLANDS HEALTH VENTURES FUND VII, L.P.       INDIVIDUALS:
By:   Essex Woodlands Health Ventures VII, L.P.,         
      Its General Partner         
          

            /s/ Ron Eastman

By:   Essex Woodlands Health Ventures VII, .L.L.C.,          Name: Ron Eastman
      Its General Partner         
By:  

    /s/ Martin P. Sutter

        
      Name:Martin P. Sutter         
      Title:  Managing Director         
ESSEX WOODLANDS HEALTH VENTURES VII, L.P.      
By:   Essex Woodlands Health Ventures VII, .L.L.C.,         
      Its General Partner         
By:  

    /s/ Martin P. Sutter

        
      Name:Martin P. Sutter         
      Title:  Managing Director         
ESSEX WOODLANDS HEALTH VENTURES VII, L.L.C.      
By:  

    /s/ Martin P. Sutter

        
Name:       Martin P. Sutter         
Title:       Managing Director