SEC Form 4 · accession 0001225208-18-011520
Edwards Lifesciences Corp · EW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott B. Ullem
Officer — CVP, CFO
Period of report
Jul 3, 2018
Accepted (ET)
Jul 6, 2018 · 4:35 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 | Jul 3, 2018 | M | 25,000 | $34.05 | A | 41,265 | D | |
| Common StockF2 | Jul 3, 2018 | S | 800 | $146.293 | D | 40,465 | D | |
| Common StockF3 | Jul 3, 2018 | S | 24,200 | $145.653 | D | 16,265 | D | |
| Common Stock | holding | — | — | — | 62,780 | 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) | $34.05 | Jul 3, 2018 | M | 25,000 | D | Feb 20, 2015 | Feb 19, 2021 | Common Stock | 25,000 | 50,036 | 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 26, 2018.
- F2This transaction was executed in multiple trades at prices ranging from $146.16 to $146.49. 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 $145.15 to $146.13. 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.
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.