SEC Form 4 · accession 0001225208-16-034615
Edwards Lifesciences Corp · EW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Larry L Wood
Officer — CVP, THV Replacement
Period of report
Jun 3, 2016
Accepted (ET)
Jun 6, 2016 · 5:44 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 | Jun 3, 2016 | M | 13,257 | $44.615 | A | 115,083 | D | |
| Common StockF3,F2 | Jun 3, 2016 | S | 5,767 | $101.0617 | D | 109,316 | D | |
| Common StockF4,F2 | Jun 3, 2016 | S | 7,490 | $101.6216 | D | 101,826 | D | |
| Common StockF5 | holding | — | — | — | 165 | 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 | $44.615 | Jun 3, 2016 | M | 13,257 | D | May 12, 2012 | May 11, 2018 | Common Stock | 13,257 | 79,543 | 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 May 3, 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 $100.48 to $101.47. 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 $101.48 to $102.24. 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.