SEC Form 4 · accession 0001107468-18-000001
BAXTER INTERNATIONAL INC · BAX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter S Hellman
Director
Period of report
Apr 2, 2018
Accepted (ET)
Apr 4, 2018 · 5:21 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000010456
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $1 par value | Apr 2, 2018 | M | 3,760 | $33.77 | A | 25,522 | D | |
| Common Stock, $1 par valueF3 | Apr 2, 2018 | S | 3,460 | $64.69 | D | 22,062 | D | |
| Common Stock, $1 par valueF4 | Apr 2, 2018 | S | 300 | $65.27 | D | 21,762 | D | |
| Common Stock, $1 par value | holding | — | — | — | 560 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $33.77 | Apr 2, 2018 | M | 3,760 | D | May 6, 2009 | May 4, 2018 | Common Stock, $1 par value | 3,760 | 0 | D |
Explanation of responses
- F1Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Hellman with respect to the stock options granted by Baxter International Inc. ("BII") to Mr. Hellman on May 6, 2008.
- F2Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Hellman with respect to the stock options granted by BII to Mr. Hellman.
- F3Price reflects weighted average sales price. Range of prices for transactions are $64.19 through $65.18. Full information regarding the number of shares sold at each separate price will be provided by the issuer upon request.
- F4Price reflects weighted average sales price. Range of prices for transactions are $65.22 through $65.35. Full information regarding the number of shares sold at each separate price will be provided by the issuer upon request.