SEC Form 4 · accession 0001225208-16-041207
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
Nov 2, 2016
Accepted (ET)
Nov 4, 2016 · 5:01 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 | Nov 2, 2016 | M | 20,000 | $25.48 | A | 66,901 | D | |
| Common StockF2 | Nov 2, 2016 | S | 100 | $92.22 | D | 66,801 | D | |
| Common StockF3,F2 | Nov 2, 2016 | S | 3,325 | $90.455 | D | 63,476 | D | |
| Common StockF4,F2 | Nov 2, 2016 | S | 4,919 | $91.2017 | D | 58,557 | D | |
| Common StockF5,F2 | Nov 2, 2016 | S | 6,656 | $89.1539 | D | 51,901 | D | |
| Common StockF6 | 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 | Nov 2, 2016 | M | 20,000 | D | May 13, 2011 | May 12, 2017 | Common Stock | 20,000 | 93,600 | 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 $89.89 to $90.85. 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 $90.89 to $91.76. 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 $88.78 to $89.69. 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 equity to share equivalents.