SEC Form 4 · accession 0001220966-18-000001
BAXTER INTERNATIONAL INC · BAX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James R Gavin III
Director
Period of report
Mar 28, 2018
Accepted (ET)
Mar 30, 2018 · 4:03 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 | Mar 28, 2018 | M | 3,760 | $33.77 | A | 36,398 | D | |
| Common Stock, $1 par value | Mar 28, 2018 | M | 5,680 | $26.77 | A | 42,078 | D | |
| Common Stock, $1 par value | Mar 28, 2018 | M | 4,320 | $24.27 | A | 46,398 | D | |
| Common Stock, $1 par value | Mar 28, 2018 | M | 4,990 | $31.26 | A | 51,388 | D | |
| Common Stock, $1 par valueF6 | Mar 28, 2018 | S | 17,050 | $64.51 | D | 34,338 | D | |
| Common Stock, $1 par valueF7 | Mar 28, 2018 | S | 1,700 | $65.06 | D | 32,638 | D |
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 | Mar 28, 2018 | M | 3,760 | D | May 6, 2009 | May 4, 2018 | Common Stock, $1 par value | 3,760 | 0 | D |
| Stock Option (Right to Buy) | $26.77 | Mar 28, 2018 | M | 5,680 | D | May 5, 2010 | May 5, 2019 | Common Stock, $1 par value | 5,680 | 0 | D |
| Stock Option (Right to Buy) | $24.27 | Mar 28, 2018 | M | 4,320 | D | May 4, 2011 | May 4, 2020 | Common Stock, $1 par value | 4,320 | 0 | D |
| Stock Option (Right to Buy) | $31.26 | Mar 28, 2018 | M | 4,990 | D | May 8, 2012 | May 3, 2021 | Common Stock, $1 par value | 4,990 | 0 | D |
Explanation of responses
- F1Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Gavin with respect to the stock options granted by Baxter International Inc. ("BII") to Mr. Gavin on May 6, 2008.
- F2Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Gavin with respect to the stock options granted by BII to Mr. Gavin on May 5, 2009.
- F3Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Gavin with respect to the stock options granted by BII to Mr. Gavin on May 4, 2010.
- F4Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Gavin with respect to the stock options granted by BII to Mr. Gavin on May 3, 2011.
- F5Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Gavin with respect to the stock options granted by BII to Mr. Gavin.
- F6Price reflects weighted average sales price. Range of prices for transactions are $63.99 through $64.99. Full information regarding the number of shares sold at each separate price will be provided by the issuer upon request.
- F7Price reflects weighted average sales price. Range of prices for transactions are $65.00 through $65.21. Full information regarding the number of shares sold at each separate price will be provided by the issuer upon request.