SEC Form 4 · accession 0001225208-17-005737
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
Mar 6, 2017
Accepted (ET)
Mar 7, 2017 · 4:18 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 | Mar 6, 2017 | M | 18,720 | $25.48 | A | 80,621 | D | |
| Common StockF3,F2 | Mar 6, 2017 | S | 200 | $91.69 | D | 80,421 | D | |
| Common StockF4,F2 | Mar 6, 2017 | S | 2,600 | $90.6924 | D | 77,821 | D | |
| Common StockF5,F2 | Mar 6, 2017 | S | 10,920 | $89.8114 | D | 66,901 | D | |
| Common StockF6 | holding | — | — | — | 12,397 | I | 401(k) | |
| Common Stock | holding | — | — | — | 9,604 | I | By Trust |
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)F1 | $25.48 | Mar 6, 2017 | M | 18,720 | D | May 13, 2011 | May 12, 2017 | Common Stock | 18,720 | 37,440 | 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 $91.52 to $91.86. 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.
- F4This transaction was executed in multiple trades at prices ranging from $90.35 to $91.19. 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 $89.28 to $90.24. 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.
- 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.