SEC Form 4 · accession 0001225208-15-001003
Edwards Lifesciences Corp · EW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael A Mussallem
Officer — Chairman & CEO · Director
Period of report
Jan 5, 2015
Accepted (ET)
Jan 7, 2015 · 4:45 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001099800
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Jan 5, 2015 | M | 29,500 | $27.77 | A | 293,350 | D | |
| Common StockF3,F2 | Jan 5, 2015 | S | 3,000 | $126.8674 | D | 290,350 | D | |
| Common StockF4,F2 | Jan 5, 2015 | S | 7,374 | $128.7412 | D | 282,976 | D | |
| Common StockF5,F2 | Jan 5, 2015 | S | 19,126 | $128.2061 | D | 263,850 | D | |
| Common StockF6 | holding | — | — | — | 61,966 | I | 401(k) | |
| Common Stock | holding | — | — | — | 70,283 | I | By Living Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Acquire)F2 | $27.77 | Jan 5, 2015 | M | 29,500 | D | Jun 8, 2008 | May 7, 2015 | Common Stock | 29,500 | 50,500 | D |
Explanation of responses
- F1The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on April 28, 2014.
- F2This Form 4 reflects changes in beneficial ownership only; it does not identify other securities of the Issuer beneficially owned by the reporting person.
- F3This transaction was executed in multiple trades at prices ranging from $126.50 to $127.42. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
- F4This transaction was executed in multiple trades at prices ranging from $128.57 to $129.20. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
- F5This transaction was executed in multiple trades at prices ranging from $127.57 to $128.56. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
- F6Shares represented on the most recent statement of the 401(k) Plan Administrator where a unitized accounting procedure is utilized to convert the equities to share equivalents.