SEC Form 4 · accession 0001225208-15-020103
Edwards Lifesciences Corp · EW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick B Verguet
Officer — CVP, Europe
Period of report
Oct 28, 2015
Accepted (ET)
Oct 30, 2015 · 4:40 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 | Oct 28, 2015 | M | 4,000 | $31.47 | A | 57,901 | D | |
| Common StockF2 | Oct 28, 2015 | S | 4,000 | $154.00 | D | 53,901 | D | |
| Common StockF2 | Oct 29, 2015 | M | 14,000 | $31.47 | A | 67,901 | D | |
| Common StockF3,F2 | Oct 29, 2015 | S | 5,784 | $155.1047 | D | 62,117 | D | |
| Common StockF4,F2 | Oct 29, 2015 | S | 8,216 | $154.6892 | D | 53,901 | D | |
| Common StockF5,F2 | Oct 30, 2015 | S | 4,000 | $156.9991 | D | 49,901 | D |
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 | Oct 28, 2015 | M | 4,000 | D | May 7, 2010 | May 6, 2016 | Common Stock | 4,000 | 42,338 | D |
| Employee Stock Option (Right to Acquire) | $31.47 | Oct 29, 2015 | M | 14,000 | D | May 7, 2010 | May 6, 2016 | Common Stock | 14,000 | 28,338 | D |
| Employee Stock Option (Right to Acquire) | $31.47 | Oct 30, 2015 | M | 4,000 | D | May 7, 2010 | May 6, 2016 | Common Stock | 4,000 | 24,338 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 27, 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.
- F3This transaction was executed in multiple trades at prices ranging from $155.0000 to $155.9400. 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 $154.0000 to $154.9950. 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.
- F5This transaction was executed in multiple trades at prices ranging from $156.9950 to $157.0040. 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.