SEC Form 4 · accession 0001225208-19-000518
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
Jan 3, 2019
Accepted (ET)
Jan 3, 2019 · 7:55 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 | Jan 3, 2019 | M | 32,800 | $42.725 | A | 75,926 | D | |
| Common StockF2 | Jan 3, 2019 | S | 800 | $145.7688 | D | 75,126 | D | |
| Common StockF3 | Jan 3, 2019 | S | 1,200 | $147.3396 | D | 73,926 | D | |
| Common StockF4 | Jan 3, 2019 | S | 3,600 | $144.9109 | D | 70,326 | D | |
| Common StockF5 | Jan 3, 2019 | S | 10,036 | $143.0395 | D | 60,290 | D | |
| Common StockF6 | Jan 3, 2019 | S | 17,164 | $143.8622 | D | 43,126 | D | |
| Common StockF7 | holding | — | — | — | 123,928 | 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 | Jan 3, 2019 | M | 32,800 | D | Jun 9, 2012 | May 8, 2019 | Common Stock | 32,800 | 56,800 | 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 $145.53 to $146.51. 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 $146.85 to $147.77. 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 $144.47 to $145.43. 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 $142.44 to $143.43. 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 $143.45 to $144.44. 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.
- F7Shares represented on the most recent statement of the 401(k) Plan Administrator.
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.