SEC Form 4 · accession 0001225208-18-017002
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
Dec 21, 2018
Accepted (ET)
Dec 21, 2018 · 7:07 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 | Dec 21, 2018 | M | 32,800 | $42.725 | A | 75,926 | D | |
| Common StockF2 | Dec 21, 2018 | S | 910 | $149.373 | D | 75,016 | D | |
| Common StockF3 | Dec 21, 2018 | S | 2,841 | $148.4442 | D | 72,175 | D | |
| Common StockF4 | Dec 21, 2018 | S | 3,600 | $146.4223 | D | 68,575 | D | |
| Common StockF5 | Dec 21, 2018 | S | 4,395 | $147.692 | D | 64,180 | D | |
| Common StockF6 | Dec 21, 2018 | S | 6,464 | $144.627 | D | 57,716 | D | |
| Common StockF7 | Dec 21, 2018 | S | 14,590 | $145.3844 | D | 43,126 | D | |
| Common StockF8 | holding | — | — | — | 123,929 | 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 | Dec 21, 2018 | M | 32,800 | D | Jun 9, 2012 | May 8, 2019 | Common Stock | 32,800 | 89,600 | 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 $149.10 to $149.75. 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 $148.10 to $149.01. 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 $146.00 to $146.89. 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 $147.09 to $148.08. 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 $144.00 to $144.98. 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 $145.00 to $146.00. 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.
- F8Shares represented on the most recent statement of the 401(k) Plan Administrator where a unitized accounting procedure is utilized to convert the equities 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.