SEC Form 4 · accession 0001225208-18-012712
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
Aug 15, 2018
Accepted (ET)
Aug 17, 2018 · 4:31 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 | Aug 15, 2018 | M | 25,000 | $34.05 | A | 40,983 | D | |
| Common StockF2 | Aug 15, 2018 | S | 3,609 | $136.0954 | D | 37,374 | D | |
| Common StockF3 | Aug 15, 2018 | S | 5,169 | $137.8592 | D | 32,205 | D | |
| Common StockF4 | Aug 15, 2018 | S | 7,522 | $135.0956 | D | 24,683 | D | |
| Common StockF5 | Aug 15, 2018 | S | 8,700 | $137.1449 | D | 15,983 | 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 | Aug 15, 2018 | M | 25,000 | D | Feb 20, 2015 | Feb 19, 2021 | Common Stock | 25,000 | 25,036 | 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 $135.58 to $136.57. 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 $137.58 to $138.14. 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 $134.58 to $135.54. 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.
- F5This transaction was executed in multiple trades at prices ranging from $136.58 to $137.57. 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.