SEC Form 4 · accession 0001225208-17-015648
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
Sep 29, 2017
Accepted (ET)
Oct 2, 2017 · 8:19 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 StockF2 | Sep 29, 2017 | M | 5,300 | $44.615 | A | 24,908 | D | |
| Common StockF2 | Sep 29, 2017 | S | 100 | $109.34 | D | 24,808 | D | |
| Common StockF3,F2 | Sep 29, 2017 | S | 5,200 | $108.8535 | D | 19,608 | D | |
| Common StockF4 | holding | — | — | — | 12,461 | I | 401(k) | |
| Common Stock | 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)F2 | $44.615 | Sep 29, 2017 | M | 5,300 | D | May 12, 2012 | May 11, 2018 | Common Stock | 5,300 | 31,800 | 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 25, 2017.
- 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 $108.30 to $109.29. 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.
- F4Shares 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.