SEC Form 4 · accession 0001225208-18-008853
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
May 7, 2018
Accepted (ET)
May 7, 2018 · 9:35 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 Stock | May 7, 2018 | M | 19,800 | $44.615 | A | 61,131 | D | |
| Common Stock | May 7, 2018 | M | 13,000 | $42.725 | A | 74,131 | D | |
| Common StockF2 | May 7, 2018 | S | 1,871 | $135.7918 | D | 72,260 | D | |
| Common StockF3 | May 7, 2018 | S | 30,929 | $136.4008 | D | 41,331 | D | |
| Common StockF4 | 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) | $42.725 | May 7, 2018 | M | 13,000 | D | Jun 9, 2012 | May 8, 2019 | Common Stock | 13,000 | 319,800 | D |
| Employee Stock Option (Right to Acquire) | $44.615 | May 7, 2018 | M | 19,800 | D | Jun 12, 2011 | May 11, 2018 | Common Stock | 19,800 | 0 | 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 $135.06 to $136.0550. 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 $136.0750 to $137.1950. 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.
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.