SEC Form 4 · accession 0001225208-15-017604
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
Aug 24, 2015
Accepted (ET)
Aug 26, 2015 · 6:15 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 | Aug 24, 2015 | M | 29,500 | $31.47 | A | 309,387 | D | |
| Common StockF3,F2 | Aug 24, 2015 | S | 300 | $132.3233 | D | 309,087 | D | |
| Common StockF4,F2 | Aug 24, 2015 | S | 300 | $130.709 | D | 308,787 | D | |
| Common StockF5,F2 | Aug 24, 2015 | S | 700 | $137.1329 | D | 308,087 | D | |
| Common StockF6,F2 | Aug 24, 2015 | S | 5,000 | $134.4563 | D | 303,087 | D | |
| Common StockF7,F2 | Aug 24, 2015 | S | 5,300 | $133.5358 | D | 297,787 | D | |
| Common StockF8,F2 | Aug 24, 2015 | S | 8,000 | $135.6204 | D | 289,787 | D | |
| Common StockF9,F2 | Aug 24, 2015 | S | 9,900 | $136.367 | D | 279,887 | D | |
| Common StockF10 | 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) | $31.47 | Aug 24, 2015 | M | 29,500 | D | Jun 7, 2009 | May 6, 2016 | Common Stock | 29,500 | 260,000 | 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 February 20, 2015.
- F10Shares 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.
- 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 $131.67 to $132.65. 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 $130.28 to $131.09. 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 $137.03 to $137.27. 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 $134.02 to $135. 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.
- F7This transaction was executed in multiple trades at prices ranging from $133.00 to $133.98. 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.
- F8This transaction was executed in multiple trades at prices ranging from $135.03 to $136.01. 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.
- F9This transaction was executed in multiple trades at prices ranging from $136.03 to $137.01. 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.