SEC Form 4 · accession 0001225208-16-040249
Edwards Lifesciences Corp · EW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Huimin Wang
Officer — CVP, Japan & Intercontinental
Period of report
Oct 5, 2016
Accepted (ET)
Oct 6, 2016 · 4:29 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 5, 2016 | M | 13,650 | $44.615 | A | 89,442 | D | |
| Common StockF3,F2 | Oct 5, 2016 | S | 3,700 | $120.8143 | D | 85,742 | D | |
| Common StockF4,F2 | Oct 5, 2016 | S | 9,950 | $119.7467 | D | 75,792 | 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)F2 | $44.615 | Oct 5, 2016 | M | 13,650 | D | May 12, 2012 | May 11, 2018 | Common Stock | 13,650 | 27,300 | 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 November 30, 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 $120.35 to $121.32. 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 $119.35 to $120.33. 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.