SEC Form 4 · accession 0001225208-15-008796
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
Mar 26, 2015
Accepted (ET)
Mar 30, 2015 · 8:47 pm EDT
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 | Mar 26, 2015 | M | 21,000 | $27.77 | A | 284,850 | D | |
| Common StockF2 | Mar 26, 2015 | M | 8,500 | $31.47 | A | 293,350 | D | |
| Common StockF3,F2 | Mar 26, 2015 | S | 1,910 | $141.2733 | D | 291,440 | D | |
| Common StockF4,F2 | Mar 26, 2015 | S | 4,140 | $138.6245 | D | 287,300 | D | |
| Common StockF5,F2 | Mar 26, 2015 | S | 10,227 | $139.7131 | D | 277,073 | D | |
| Common StockF6,F2 | Mar 26, 2015 | S | 13,223 | $140.689 | D | 263,850 | D | |
| Common StockF7 | 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 | $31.47 | Mar 26, 2015 | M | 8,500 | D | Jun 7, 2009 | May 6, 2016 | Common Stock | 8,500 | 407,500 | D |
| Employee Stock Option (Right to Acquire)F2 | $27.77 | Mar 26, 2015 | M | 21,000 | D | Jun 8, 2008 | May 7, 2015 | Common Stock | 21,000 | 0 | 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 $141.19 to $141.48. 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 $138.13 to $139.01. 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 $139.19 to $140.13. 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.
- F6This transaction was executed in multiple trades at prices ranging from $140.19 to $141.18. 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.
- F7Shares 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.