SEC Form 4 · accession 0001225208-19-004992
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
Mar 8, 2019
Accepted (ET)
Mar 11, 2019 · 2:21 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 | Mar 8, 2019 | M | 24,000 | $42.725 | A | 67,126 | D | |
| Common Stock | Mar 8, 2019 | M | 8,800 | $35.785 | A | 75,926 | D | |
| Common StockF2 | Mar 8, 2019 | S | 3,444 | $168.7971 | D | 72,482 | D | |
| Common StockF3 | Mar 8, 2019 | S | 9,095 | $167.2446 | D | 63,387 | D | |
| Common StockF4 | Mar 8, 2019 | S | 20,261 | $168.025 | D | 43,126 | D | |
| Common StockF5 | holding | — | — | — | 123,926 | 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 | Mar 8, 2019 | M | 24,000 | D | Jun 9, 2012 | May 8, 2019 | Common Stock | 24,000 | 0 | D |
| Employee Stock Option (Right to Acquire) | $35.785 | Mar 8, 2019 | M | 8,800 | D | Jun 14, 2013 | May 13, 2020 | Common Stock | 8,800 | 459,800 | 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 $168.5500 to $169.2400. 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 $166.5500 to $167.5400. 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 $167.5500 to $168.5350. 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.
- F5Shares represented on the most recent statement of Issuer's 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.