SEC Form 4 · accession 0001225208-17-013379
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
Aug 4, 2017
Accepted (ET)
Aug 8, 2017 · 5:44 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 | Aug 4, 2017 | M | 25,000 | $35.785 | A | 44,608 | D | |
| Common StockF2,F1 | Aug 4, 2017 | S | 25,000 | $116.0015 | D | 19,608 | D | |
| Common StockF3 | holding | — | — | — | 12,461 | I | 401(k) | |
| Common StockF1 | holding | — | — | — | 75,235 | 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 | $35.785 | Aug 4, 2017 | M | 25,000 | D | May 14, 2014 | May 13, 2020 | Common Stock | 25,000 | 69,800 | 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; and it includes 60,479 shares previously owned directly which are now owned by trust.
- F2This transaction was executed in multiple trades at prices ranging from $116.00 to $116.04. 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.
- F3Shares 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.