SEC Form 4 · accession 0001225208-16-034501
Edwards Lifesciences Corp · EW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald E Bobo Jr.
Officer — CVP, Heart Valve Therapy
Period of report
May 31, 2016
Accepted (ET)
Jun 2, 2016 · 6:58 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 31, 2016 | M | 20,000 | $25.48 | A | 62,796 | D | |
| Common StockF3,F2 | May 31, 2016 | S | 2,551 | $99.9216 | D | 60,245 | D | |
| Common StockF4,F2 | May 31, 2016 | S | 15,449 | $98.8901 | D | 44,796 | D | |
| Common StockF5 | holding | — | — | — | 12,350 | I | 401(k) |
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 | $25.48 | May 31, 2016 | M | 20,000 | D | May 13, 2011 | May 12, 2017 | Common Stock | 20,000 | 133,600 | 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 April 28, 2016.
- 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 $99.60 to $100.54. 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 $98.57 to $99.55. 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 equity to share equivalents.