SEC Form 4 · accession 0001225208-16-030125
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 17, 2016
Accepted (ET)
Mar 18, 2016 · 4:14 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 17, 2016 | M | 59,000 | $15.735 | A | 80,650 | D | |
| Common StockF3,F2 | Mar 17, 2016 | S | 900 | $86.0539 | D | 79,750 | D | |
| Common StockF4,F2 | Mar 17, 2016 | S | 2,500 | $85.3799 | D | 77,250 | D | |
| Common StockF5,F2 | Mar 17, 2016 | S | 55,600 | $84.3195 | D | 21,650 | D | |
| Common StockF6 | holding | — | — | — | 123,931 | I | 401(k) | |
| Common Stock | holding | — | — | — | 678,692 | 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 | $15.735 | Mar 17, 2016 | M | 59,000 | D | Jun 7, 2009 | May 6, 2016 | Common Stock | 59,000 | 107,000 | 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.
- 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 $85.935 to $86.17. 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 $84.90 to $85.86. 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 $83.90 to $84.83. 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.