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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Edwards Lifesciences Corp | NYSE:EW | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.19 | 0.22% | 85.25 | 86.95 | 85.20 | 85.85 | 2,327,198 | 01:00:00 |
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A.
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Full title of the plan and the address of the plan, if different from that of the issuer named below:
|
B.
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Name of issuer of the securities held pursuant to the plan and the address of its principal executive office:
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Page
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Statements of Net Assets Available for Benefits as of December 31, 2016 and 2015
|
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Statements of Changes in Net Assets Available for Benefits for the years ended December 31, 2016 and 2015
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23—Consent of Independent Registered Public Accounting Firm
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/s/ HEIN & ASSOCIATES LLP
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Denver, Colorado
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June 16, 2017
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December 31,
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||||||
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2016
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2015
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||||
Investments in Master Trust
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$
|
33,772,418
|
|
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$
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31,249,398
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Notes receivable from participants
|
1,475,387
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1,754,643
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||
Contributions receivable
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51,632
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86,983
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NET ASSETS AVAILABLE FOR BENEFITS
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$
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35,299,437
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$
|
33,091,024
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Years Ended December 31,
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||||||
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2016
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2015
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Additions to net assets attributed to:
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||
Investment income:
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Net appreciation in fair value of Master Trust
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$
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2,453,787
|
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$
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1,368,800
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Dividends
|
328,157
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371,348
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||
Interest
|
206,727
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204,248
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Total investment income
|
2,988,671
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1,944,396
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Interest income on notes receivable from participants
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68,181
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72,025
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Contributions:
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|
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||||
Participant contributions
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1,298,479
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1,250,222
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Company contributions
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872,135
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964,057
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||
Rollover contributions
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74,583
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|
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—
|
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||
Total contributions
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2,245,197
|
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2,214,279
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Total additions
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5,302,049
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4,230,700
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Deductions from net assets attributed to:
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||||
Benefits paid to participants
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2,957,854
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2,322,227
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Administrative expenses
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135,782
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136,017
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Total deductions
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3,093,636
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2,458,244
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Net increase in net assets available for benefits
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2,208,413
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1,772,456
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Net assets available for benefits:
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|
|
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||||
Beginning of year
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33,091,024
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|
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31,318,568
|
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End of year
|
$
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35,299,437
|
|
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$
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33,091,024
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1.
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Employees who are included in a unit of employees covered by a collective bargaining agreement unless the agreement provides for coverage under the Plan;
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2.
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Employees employed outside the Commonwealth of Puerto Rico;
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3.
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A director, unless such director is also an officer or other employee;
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4.
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Any person employed as a temporary employee for a specific limited period of time or for the performance of a specific limited assignment;
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5.
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Any person employed on a probationary status pursuant to established policy of the employer;
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6.
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Leased employees who are employed by another company that provides services to Edwards; and
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7.
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Any person who at the time services are performed is not classified by the Company or, as applicable, other member of the Group, as a common-law employee of the Company or any other member of the Group even though such person may for Federal or Puerto Rico income tax purpose or any other purpose be reclassified by the Company or any other member of the Group in response to regulatory, administrative or judicial proceedings or actions as a common-law employee retroactive to when such services were performed.
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Level 1
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Level 2
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Level 3
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Total
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||||||||
Common stock
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$
|
9,508,065
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
9,508,065
|
|
Mutual funds
|
5,112,077
|
|
|
—
|
|
|
—
|
|
|
5,112,077
|
|
||||
Subtotal
|
$
|
14,620,142
|
|
|
$
|
—
|
|
|
$
|
—
|
|
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14,620,142
|
|
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Cash and cash equivalents
|
|
|
|
|
|
|
132
|
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|||||||
Common/collective trust funds measured at NAV (a)
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|
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|
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19,152,144
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|
|||||||
Total investments
|
|
|
|
|
|
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$
|
33,772,418
|
|
|
Level 1
|
|
Level 2
|
|
Level 3
|
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Total
|
||||||||
Common stock
|
$
|
8,499,519
|
|
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$
|
—
|
|
|
$
|
—
|
|
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$
|
8,499,519
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Mutual funds
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4,369,569
|
|
|
—
|
|
|
—
|
|
|
4,369,569
|
|
||||
Subtotal
|
$
|
12,869,088
|
|
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$
|
—
|
|
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$
|
—
|
|
|
12,869,088
|
|
|
Cash and cash equivalents
|
|
|
|
|
|
|
144
|
|
|||||||
Common/collective trust funds measured at NAV (a)
|
|
|
|
|
|
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18,380,166
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|
|||||||
Total investments
|
|
|
|
|
|
|
$
|
31,249,398
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(a)
|
In accordance with ASC Subtopic 820-10, certain investments that were measured at NAV per share have not been classified in the fair value hierarchy. The fair value amounts presented in this table are intended to permit reconciliation of the fair value hierarchy to the line items presented in the statement of net assets available for benefits.
|
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December 31,
|
||||||
|
2016
|
|
2015
|
||||
Net assets held by Master Trust:
|
|
|
|
|
|
||
Common stock funds
|
$
|
255,005,550
|
|
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$
|
195,649,438
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Mutual funds
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205,748,658
|
|
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177,181,345
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||
Common/collective trusts
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243,990,221
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|
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237,257,307
|
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Cash and cash equivalents
|
2,889,522
|
|
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1,988,333
|
|
||
Net assets held by Master Trust
|
707,633,951
|
|
|
612,076,423
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|
||
% of Plan net assets held by Master Trust
|
4.77
|
%
|
|
5.11
|
%
|
|
Years Ended December 31,
|
||||||
|
2016
|
|
2015
|
||||
Net appreciation in fair value
|
$
|
56,777,404
|
|
|
$
|
23,522,272
|
|
Dividend income
|
8,080,832
|
|
|
10,720,533
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|
||
Interest income
|
2,107,872
|
|
|
2,303,945
|
|
||
Investment income
|
66,966,108
|
|
|
36,546,750
|
|
||
% of Plan investment income from Master Trust
|
4.46
|
%
|
|
5.32
|
%
|
|
2016
|
|
2015
|
||||
Shares of Edwards Lifesciences stock held by Plan
|
101,401
|
|
|
107,492
|
|
||
Value of Edwards Lifesciences stock held by Plan
|
$
|
9,501,311
|
|
|
$
|
8,489,689
|
|
Plan’s investment in Edwards Lifesciences stock as percentage of total net assets available for benefits
|
26.9
|
%
|
|
25.7
|
%
|
|
2016
|
|
2015
|
||||
Statement of Net Assets Available for Benefits:
|
|
|
|
|
|
||
Net assets available for benefits per the financial statements
|
$
|
35,299,437
|
|
|
$
|
33,091,024
|
|
Adjustment from contract value to fair value for fully benefit-responsive investment contracts
|
—
|
|
|
72,932
|
|
||
Net assets available for benefits per Form 5500
|
$
|
35,299,437
|
|
|
$
|
33,163,956
|
|
|
2016
|
|
2015
|
||||
Statement of Changes in Net Assets Available for Benefits:
|
|
|
|
|
|
||
Net increase in net assets available for benefits per the financial statements
|
$
|
2,208,413
|
|
|
$
|
1,772,456
|
|
Prior year adjustment from contract value to fair value for fully benefit-responsive investment contracts
|
(72,932
|
)
|
|
(165,536
|
)
|
||
Current year adjustment from contract value to fair value for fully benefit-responsive investment contracts
|
—
|
|
|
72,932
|
|
||
Net income per Form 5500
|
$
|
2,135,481
|
|
|
$
|
1,679,852
|
|
(a)
|
|
(b) Identity of issue,
borrower, lessor
or similar party
|
|
(c) Description of investment including maturity date, rate
of interest, collateral, par or maturity value
|
|
(d) Cost
**
|
|
(e) Current
value
|
||
*
|
|
Notes Receivable from Participants
|
|
Varying maturity dates with interest rates ranging from of 4.3% to 4.5%
|
|
—
|
|
$
|
1,475,387
|
|
|
|
Edwards Lifesciences Technology SARL Retirement Savings Trust
|
|
Master Trust—Commingled and Common Stock Funds
|
|
—
|
|
$
|
33,772,418
|
|
|
|
EDWARDS LIFESCIENCES TECHNOLOGY SARL
RETIREMENT SAVINGS PLAN
|
|
|
|
|
June 16, 2017
|
By:
|
/s/ CHRISTINE Z. MCCAULEY
|
|
|
Christine Z. McCauley
|
|
|
Member of the Administrative and
Investment Committee for the
Edwards Lifesciences Corporation
Employee Benefit Plans
|
Exhibit No.
|
|
Description
|
23
|
|
Consent of Independent Registered Public Accounting Firm—Hein & Associates LLP
|
1 Year Edwards Lifesciences Chart |
1 Month Edwards Lifesciences Chart |
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