SEC Form 4 · accession 0001228779-18-000001
BAXTER INTERNATIONAL INC · BAX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kornelis J. Storm
Director
Period of report
Mar 28, 2018
Accepted (ET)
Mar 30, 2018 · 4:05 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 | 26,272 | D | |
| Common Stock, $1 par value | Mar 28, 2018 | M | 5,680 | $26.77 | A | 31,952 | D | |
| Common Stock, $1 par Value | Mar 28, 2018 | M | 4,320 | $24.27 | A | 36,272 | D | |
| Common Stock, $1 par value | Mar 28, 2018 | M | 4,990 | $31.26 | A | 41,262 | D | |
| Common Stock, $1 par value | Mar 28, 2018 | M | 4,020 | $29.51 | A | 45,282 | D | |
| Common Stock, $1 par value | Mar 28, 2018 | M | 3,930 | $36.92 | A | 49,212 | D | |
| Common Stock, $1 par value | Mar 28, 2018 | M | 4,110 | $39.83 | A | 53,322 | D | |
| Common Stock, $1 par value | Mar 28, 2018 | M | 10,789 | $37.50 | A | 64,111 | D | |
| Common Stock, $1 par value | Mar 28, 2018 | M | 6,360 | $44.39 | A | 70,471 | D | |
| Common Stock, $1 par valueF11 | Mar 28, 2018 | S | 39,059 | $64.55 | D | 31,412 | D | |
| Common Stock, $1 par valueF12 | Mar 28, 2018 | S | 8,900 | $65.04 | D | 22,512 | 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 |
| Stock Option (Right to Buy) | $29.51 | Mar 28, 2018 | M | 4,020 | D | May 8, 2013 | May 8, 2022 | Common Stock, $1 par value | 4,020 | 0 | D |
| Stock Option (Right to Buy) | $36.92 | Mar 28, 2018 | M | 3,930 | D | May 7, 2014 | May 5, 2023 | Common Stock, $1 par value | 3,930 | 0 | D |
| Stock Option (Right to Buy) | $39.83 | Mar 28, 2018 | M | 4,110 | D | May 5, 2015 | May 6, 2024 | Common Stock, $1 par value | 4,110 | 0 | D |
| Stock Option (Right to Buy) | $37.50 | Mar 28, 2018 | M | 10,789 | D | May 5, 2016 | May 5, 2025 | Common Stock, $1 par value | 10,789 | 0 | D |
| Stock Option (Right to Buy) | $44.39 | Mar 28, 2018 | M | 6,360 | D | May 2, 2017 | May 1, 2026 | Common Stock, $1 par value | 6,360 | 0 | D |
Explanation of responses
- F1Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Storm with respect to the stock options granted by Baxter International Inc. ("BII") to Mr. Storm on May 6, 2008.
- F10Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Storm with respect to the stock options granted by BII to Mr. Storm.
- F11Price reflects weighted average sales price. Range of prices for transactions are $63.96 through $64.96. Full information regarding the number of shares sold at each separate price will be provided by the issuer upon request.
- F12Price reflects weighted average sales price. Range of prices for transactions are $64.97 through $65.23. Full information regarding the number of shares sold at each separate price will be provided by the issuer upon request.
- F2Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Storm with respect to the stock options granted by BII to Mr. Storm on May 5, 2009.
- F3Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Storm with respect to the stock options granted by BII to Mr. Storm on May 4, 2010.
- F4Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Storm with respect to the stock options granted by BII to Mr. Storm on May 3, 2011.
- F5Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Storm with respect to the stock options granted by BII to Mr. Storm on May 8, 2012.
- F6Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Storm with respect to the stock options granted by BII to Mr. Storm on May 7, 2013.
- F7Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Storm with respect to the stock options granted by BII to Mr. Storm on May 6, 2014.
- F8Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Storm with respect to the stock options granted by BII to Mr. Storm on May 5, 2015.
- F9Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Storm with respect to the stock options granted by BII to Mr. Storm on May 3, 2016.