SEC Form 4 · accession 0001225208-18-015005
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
Oct 29, 2018
Accepted (ET)
Oct 31, 2018 · 4:04 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 | Oct 29, 2018 | M | 32,900 | $42.725 | A | 76,026 | D | |
| Common StockF2 | Oct 29, 2018 | S | 1,200 | $137.0983 | D | 74,826 | D | |
| Common StockF3 | Oct 29, 2018 | S | 2,200 | $142.92 | D | 72,626 | D | |
| Common StockF4 | Oct 29, 2018 | S | 2,638 | $138.2107 | D | 69,988 | D | |
| Common StockF5 | Oct 29, 2018 | S | 4,797 | $139.2178 | D | 65,191 | D | |
| Common StockF6 | Oct 29, 2018 | S | 5,705 | $140.33 | D | 59,486 | D | |
| Common StockF7 | Oct 29, 2018 | S | 8,101 | $142.37 | D | 51,385 | D | |
| Common StockF8 | Oct 29, 2018 | S | 8,259 | $141.06 | D | 43,126 | D | |
| Common Stock | holding | — | — | — | 123,931 | I | 401(k) | |
| Common Stock | holding | — | — | — | 745,400 | 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 | Oct 29, 2018 | M | 32,900 | D | Jun 9, 2012 | May 8, 2019 | Common Stock | 32,900 | 155,300 | 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, 2018.
- F2This transaction was executed in multiple trades at prices ranging from $136.60 to $137.47. 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 $142.79 to $143.16. 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 $137.6550 to $138.6350. 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 $138.7150 to $139.66. 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.
- F6This transaction was executed in multiple trades at prices ranging from $139.73 to $140.72. 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.
- F7This transaction was executed in multiple trades at prices ranging from $141.79 to $142.78. 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.
- F8This transaction was executed in multiple trades at prices ranging from $140.74 to $141.7350. 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.