SEC Form 4 · accession 0001225208-18-002818
Edwards Lifesciences Corp · EW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael A Mussallem
Officer — Chairman & CEO · Director
Period of report
Feb 13, 2018
Accepted (ET)
Feb 13, 2018 · 8:04 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 Stock | Feb 13, 2018 | M | 32,800 | $44.615 | A | 74,131 | D | |
| Common StockF2 | Feb 13, 2018 | S | 6,700 | $126.5117 | D | 67,431 | D | |
| Common StockF3 | Feb 13, 2018 | S | 12,450 | $125.8088 | D | 54,981 | D | |
| Common StockF4 | Feb 13, 2018 | S | 13,650 | $127.5896 | D | 41,331 | D | |
| Common StockF5 | holding | — | — | — | 123,931 | I | 401(k) | |
| Common Stock | holding | — | — | — | 698,095 | I | By Living 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) | $44.615 | Feb 13, 2018 | M | 32,800 | D | Jun 12, 2011 | May 11, 2018 | Common Stock | 32,800 | 85,400 | 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 February 27, 2017.
- F2This transaction was executed in multiple trades at prices ranging from $126.20 to $127.1250. 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.
- F3This transaction was executed in multiple trades at prices ranging from $125.20 to $126.19. 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.
- F4This transaction was executed in multiple trades at prices ranging from $127.20 to $128.0350. 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.
- F5Shares 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.
Remarks
This Form 4 reflects changes in beneficial ownership only; it does not identify other securities of the Issuer beneficially owned by the reporting person.