SEC Form 4 · accession 0001225208-16-042551
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
Dec 1, 2016
Accepted (ET)
Dec 1, 2016 · 7:32 pm EST
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 | Dec 1, 2016 | M | 13,258 | $44.615 | A | 115,202 | D | |
| Common StockF3,F2 | Dec 1, 2016 | S | 2,500 | $82.4708 | D | 112,702 | D | |
| Common StockF4,F2 | Dec 1, 2016 | S | 10,758 | $81.71 | D | 101,944 | 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 | Dec 1, 2016 | M | 13,258 | D | May 12, 2012 | May 11, 2018 | Common Stock | 13,258 | 0 | 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 $82.22 to $82.94. 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 $81.22 to $82.17. 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.