SEC Form 4 · accession 0001225208-19-002359
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
Feb 12, 2019
Accepted (ET)
Feb 12, 2019 · 9:38 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 | Feb 12, 2019 | M | 32,800 | $42.725 | A | 75,926 | D | |
| Common StockF2 | Feb 12, 2019 | S | 1,750 | $174.6549 | D | 74,176 | D | |
| Common StockF3 | Feb 12, 2019 | S | 2,400 | $175.652 | D | 71,776 | D | |
| Common StockF4 | Feb 12, 2019 | S | 3,050 | $173.7468 | D | 68,726 | D | |
| Common StockF5 | Feb 12, 2019 | S | 10,702 | $177.0482 | D | 58,024 | D | |
| Common StockF6 | Feb 12, 2019 | S | 14,898 | $177.9088 | D | 43,126 | D | |
| Common StockF7 | holding | — | — | — | 123,927 | 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 | Feb 12, 2019 | M | 32,800 | D | Jun 9, 2012 | May 8, 2019 | Common Stock | 32,800 | 24,000 | 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 $174.35 to $175.26. 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 $175.37 to $176.34. 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 $173.33 to $174.31. 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 $176.3750 to $177.36. 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 $177.40 to $178.31. 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.