SEC Form 4 · accession 0001225208-16-032793
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
May 5, 2016
Accepted (ET)
May 6, 2016 · 5:14 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 | May 5, 2016 | M | 48,000 | $15.735 | A | 68,256 | D | |
| Common StockF2 | May 5, 2016 | M | 11,000 | $25.48 | A | 79,256 | D | |
| Common StockF3,F2 | May 5, 2016 | S | 21,200 | $103.7039 | D | 58,056 | D | |
| Common StockF4,F2 | May 5, 2016 | S | 37,800 | $104.3546 | D | 20,256 | D | |
| Common StockF5 | holding | — | — | — | 123,931 | I | 401(k) | |
| Common Stock | holding | — | — | — | 628,692 | 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 | May 5, 2016 | M | 48,000 | D | Jun 7, 2009 | May 6, 2016 | Common Stock | 48,000 | 0 | D |
| Employee Stock Option (Right to Acquire)F2 | $25.48 | May 5, 2016 | M | 11,000 | D | Jun 13, 2010 | May 12, 2017 | Common Stock | 11,000 | 289,000 | 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 $103.04 to $104.03. 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 $104.04 to $104.64. 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.
- F5Shares represented on the most recent statement of the 401(k) Plan Administrator where a unitized accounting procedure is utilized to convert the equitiy to share equivalents.