SEC Form 4 · accession 0001225208-15-018650
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
Sep 21, 2015
Accepted (ET)
Sep 23, 2015 · 5:16 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 | Sep 21, 2015 | M | 29,500 | $31.47 | A | 40,325 | D | |
| Common StockF3,F4 | Sep 21, 2015 | S | 3,110 | $144.1788 | D | 37,215 | D | |
| Common StockF5,F4 | Sep 21, 2015 | S | 6,000 | $142.28 | D | 31,215 | D | |
| Common StockF6,F4 | Sep 21, 2015 | S | 7,990 | $143.595 | D | 23,225 | D | |
| Common StockF7,F4 | Sep 21, 2015 | S | 12,400 | $141.4647 | D | 10,825 | D | |
| Common StockF8 | holding | — | — | — | 61,966 | I | 401(k) | |
| Common StockF9 | holding | — | — | — | 339,346 | 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 | Sep 21, 2015 | M | 29,500 | D | Jun 7, 2009 | May 6, 2016 | Common Stock | 29,500 | 230,500 | 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 February 20, 2015.
- F2This Form 4 reflects changes in beneficial ownership only; it does not identify other securities of the Issuer beneficially owned by the reporting person. This amount was decreased to reflect shares which were previously reported as directly owned but are now indirectly owned by the Mussallem Living Trust dated March 7, 2005.
- F3This transaction was executed in multiple trades at prices ranging from $144.00 to $144.69. 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 Form 4 reflects changes in beneficial ownership only; it does not identify other securities of the Issuer beneficially owned by the reporting person.
- F5This transaction was executed in multiple trades at prices ranging from $141.93 to $142.87. 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 $143.00 to $143.9950. 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 $140.91 to $141.90. 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.
- F8Shares 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.
- F9This amount was increased to reflect shares which were previously reported as directly owned but are now indirectly owned by the Mussallem Living Trust dated March 7, 2005.