SEC Form 4 · accession 0001225208-17-009195
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
May 2, 2017
Accepted (ET)
May 4, 2017 · 7:59 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 StockF1 | May 2, 2017 | M | 10,000 | $44.615 | A | 82,095 | D | |
| Common StockF2,F1 | May 2, 2017 | S | 10,000 | $110.054 | D | 72,095 | D | |
| Common StockF1 | May 3, 2017 | M | 18,720 | $25.48 | A | 90,815 | D | |
| Common StockF1 | May 3, 2017 | M | 400 | $44.615 | A | 91,215 | D | |
| Common StockF4,F1 | May 3, 2017 | S | 400 | $110.0975 | D | 90,815 | D | |
| Common StockF5,F1 | May 3, 2017 | S | 13,720 | $109.7231 | D | 77,095 | D | |
| Common StockF1 | May 4, 2017 | M | 10,000 | $44.615 | A | 87,095 | D | |
| Common StockF6,F1 | May 4, 2017 | S | 10,000 | $110.2681 | D | 77,095 | D | |
| Common StockF7 | holding | — | — | — | 12,431 | 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 | $44.615 | May 2, 2017 | M | 10,000 | D | May 12, 2012 | May 11, 2018 | Common Stock | 10,000 | 82,800 | D |
| Employee Stock Option (Right to Acquire)F1 | $44.615 | May 3, 2017 | M | 400 | D | May 12, 2012 | May 11, 2018 | Common Stock | 400 | 82,400 | D |
| Employee Stock Option (Right to Acquire)F1 | $25.48 | May 3, 2017 | M | 18,720 | D | May 13, 2011 | May 12, 2017 | Common Stock | 18,720 | 0 | D |
| Employee Stock Option (Right to Acquire)F1 | $44.615 | May 4, 2017 | M | 10,000 | D | May 12, 2012 | May 11, 2018 | Common Stock | 10,000 | 72,400 | D |
Explanation of responses
- F1This Form 4 reflects changes in beneficial ownership only; it does not identify other securities of the Issuer beneficially owned by the Reporting Person.
- F2This transaction was executed in multiple trades at prices ranging from $110.00 to $110.39. 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.
- F3These transactions were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 28, 2016.
- F4This transaction was executed in multiple trades at prices ranging from $110.03 to $110.15. 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 $109.28 to $110.15. 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.
- F6This transaction was executed in multiple trades at prices ranging from $110.60 to $110.60. 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.
- F7Shares represented on the most recent statement of Issuer's 401(k) Plan Administrator where a unitized accounting procedure is utilized to convert the equity to share equivalents.
- F8The 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.