Filing Details
- Accession Number:
- 0001225208-18-009684
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-05-21 20:49:11
- Reporting Period:
- 2018-05-17
- Accepted Time:
- 2018-05-21 20:49:11
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1099800 | Edwards Lifesciences Corp | EW | Orthopedic, Prosthetic & Surgical Appliances & Supplies (3842) | 364316614 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1204551 | A Michael Mussallem | One Edwards Way Irvine CA 92614 | Chairman & Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2018-05-17 | 32,900 | $42.73 | 112,731 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-05-17 | 10,600 | $0.00 | 123,331 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2018-05-17 | 5,800 | $136.40 | 117,531 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-05-17 | 27,100 | $135.77 | 90,431 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | A | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Acquire) | Disposition | 2018-05-17 | 32,900 | $0.00 | 32,900 | $42.73 |
| Common Stock | Employee Stock Option (Right to Acquire) | Acquisiton | 2018-05-17 | 104,300 | $0.00 | 104,300 | $135.83 |
| Common Stock | Performance Rights | Acquisiton | 2018-05-17 | 13,250 | $0.00 | 13,250 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 286,900 | 2012-06-09 | 2019-05-08 | No | 4 | M | Direct |
| 104,300 | 2018-06-17 | 2025-05-16 | No | 4 | A | Direct |
| 13,250 | 2021-05-17 | 2025-05-16 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 123,931 | Indirect | 401(k) |
| Common Stock | 698,095 | Indirect | By Living Trust |
Footnotes
- This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 27, 2018.
- These restricted stock units were granted on May 17, 2018 under the Edwards Lifesciences Corporation Long-Term Stock Incentive Compensation Program and are scheduled to become 50% vested three years after the grant date and 50% vested four years after the grant date.
- This transaction was executed in multiple trades at prices ranging from $136.23 to $136.58. 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.
- This transaction was executed in multiple trades at prices ranging from $135.23 to $136.22. 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.
- Shares 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.
- These options were granted on May 17, 2018 under the Edwards Lifesciences Corporation Long-Term Stock Incentive Compensation Program and are scheduled to become vested and exercisable commencing one month after the grant date in 36 approximately equal annual installments.
- Reflects the target number of shares (the Target Award) covered by restricted stock units granted under the Edwards Lifesciences Corporation Long-Term Stock Incentive Compensation Program on May 17, 2018 and scheduled to vest on May 17, 2021. The number of restricted stock units that vest will depend upon achievement of certain performance goals over a three-year performance period and will range from 0% to 175% of the Target Award.
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