SEC Form 4 · accession 0001225208-18-015758
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
Nov 19, 2018
Accepted (ET)
Nov 20, 2018 · 8:25 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 | Nov 19, 2018 | M | 32,900 | $42.725 | A | 76,026 | D | |
| Common StockF2 | Nov 19, 2018 | S | 500 | $155.0634 | D | 75,526 | D | |
| Common StockF3 | Nov 19, 2018 | S | 1,100 | $153.9873 | D | 74,426 | D | |
| Common StockF4 | Nov 19, 2018 | S | 4,200 | $152.0574 | D | 70,226 | D | |
| Common StockF5 | Nov 19, 2018 | S | 8,340 | $151.1854 | D | 61,886 | D | |
| Common StockF6 | Nov 19, 2018 | S | 18,760 | $150.1842 | 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 | Nov 19, 2018 | M | 32,900 | D | Jun 9, 2012 | May 8, 2019 | Common Stock | 32,900 | 122,400 | 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, 2018.
- F2This transaction was executed in multiple trades at prices ranging from $154.87 to $155.62. 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 $153.59 to $154.56. 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 $151.70 to $152.55. 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 $150.70 to $151.69. 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 $149.68 to $150.67. 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.