Form Type: 4

SEC EDGAR Link
Accession Number:0001225208-20-007336
Date:2020-05-07
Issuer: EDWARDS LIFESCIENCES CORP (EW)
Original Submission Date:

Reporting Person:

MUSSALLEM MICHAEL A
ONE EDWARDS WAY
IRVINE, CA 92614

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-05-07 A 7,075 a $0.00 44,201 direct
COMMON STOCK 2020-05-08 M 32,850 a $35.79 77,051 direct
COMMON STOCK 2020-05-08 S 300 d $221.58 76,751 direct
COMMON STOCK 2020-05-08 S 2,900 d $218.54 73,851 direct
COMMON STOCK 2020-05-08 S 5,548 d $217.78 68,303 direct
COMMON STOCK 2020-05-08 S 6,604 d $220.86 61,699 direct
COMMON STOCK 2020-05-08 S 7,498 d $220.10 54,201 direct
COMMON STOCK 2020-05-08 G 10,000 d $0.00 44,201 direct
COMMON STOCK 2020-05-08 G 10,000 a $0.00 891,194 indirect
COMMON STOCK 2020-05-07 0 $0.00 123,919 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
EMPLOYEE STOCK OPTION (RIGHT TO ACQUIRE) 218.04 2020-05-07 deemed execution date A 70,700 (a) 2020-06-07 2027-05-06 common stock 70,700 $218.04 70,700 direct
PERFORMANCE RIGHTS 0.0 2020-05-07 deemed execution date A 8,825 (a) 2023-05-07 2027-05-06 common stock 8,825 $0.00 8,825 direct
EMPLOYEE STOCK OPTION (RIGHT TO ACQUIRE) 35.785 2020-05-08 deemed execution date M 32,850 (d) 2013-06-14 2020-05-13 common stock 32,850 $35.79 0 direct
Footnotes
IDfootnote
f1 these restricted stock units were granted on may 7, 2020 under the edwards lifesciences corporation long-term stock incentive compensation program and are scheduled to become vested and exercisable commencing one year after the grant date in four equal annual installments.
f2 the transactions reported in this form 4 were effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on april 26, 2019.
f3 this transaction was executed in multiple trades at prices ranging from $221.46 to $221.81. 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.
f4 this transaction was executed in multiple trades at prices ranging from $218.24 to $219.23. 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.
f5 this transaction was executed in multiple trades at prices ranging from $217.22 to $218.14. 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.
f6 this transaction was executed in multiple trades at prices ranging from $220.43 to $221.39. 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.
f7 this transaction was executed in multiple trades at prices ranging from $219.43 to $220.42. 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.
f8 shares represented on the most recent statement of issuer's 401(k) plan administrator.
f9 these options were granted on may 7, 2020 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 monthly installments.
f10 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 7, 2020 and scheduled to vest on may 7, 2023. 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 awards.
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