SEC Form 4 · accession 0001225208-17-001184
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
Jan 12, 2017
Accepted (ET)
Jan 17, 2017 · 4:39 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 | Jan 12, 2017 | M | 18,720 | $25.48 | A | 70,621 | D | |
| Common StockF3,F4 | Jan 12, 2017 | S | 5,400 | $97.1426 | D | 65,221 | D | |
| Common StockF5,F4 | Jan 12, 2017 | S | 8,320 | $97.6872 | D | 56,901 | D | |
| Common StockF2 | Nov 29, 2016 | G | 5,754 | $0.00 | D | 9,604 | I | By Trust |
| 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)F4 | $25.48 | Jan 12, 2017 | M | 18,720 | D | May 13, 2011 | May 12, 2017 | Common Stock | 18,720 | 74,880 | 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. In a Form 4 filed on May 16, 2016, the Reporting Person reported that 7,769 pre-split shares (15,358 post-split shares) were not beneficially owned by him. The current amount reflected on this Form 4 correctly reflects that such shares are indirectly held by the Reporting Person.
- F3This transaction was executed in multiple trades at prices ranging from $96.56 to $97.55. 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.
- F4This Form 4 reflects changes in beneficial ownership only; it does not identify other securities of the Issuer beneficially owned by the Reporting Person.
- F5This transaction was executed in multiple trades at prices ranging from $97.56 to $97.86. 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.