SEC Form 4 · accession 0001362109-17-000005
BAXTER INTERNATIONAL INC · BAX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeanne K Mason
Officer — SVP, Human Resources
Period of report
Dec 4, 2017
Accepted (ET)
Dec 6, 2017 · 4:02 pm EST
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 | Dec 4, 2017 | M | 33,350 | $31.30 | A | 124,609 | D | |
| Common Stock, $1 par valueF2 | Dec 4, 2017 | S | 33,350 | $65.25 | D | 91,259 | 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) | $31.30 | Dec 4, 2017 | M | 11,116 | D | Mar 5, 2009 | Mar 5, 2018 | Common Stock, $1 par value | 11,116 | 0 | D |
| Stock Option (Right to Buy) | $31.30 | Dec 4, 2017 | M | 11,117 | D | Mar 5, 2010 | Mar 5, 2018 | Common Stock, $1 par value | 11,117 | 0 | D |
| Stock Option (Right to Buy) | $31.30 | Dec 4, 2017 | M | 11,117 | D | Mar 5, 2011 | Mar 5, 2018 | Common Stock, $1 par value | 11,117 | 0 | D |
Explanation of responses
- F1Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Ms. Mason with respect to the stock options granted by Baxter International Inc. ("BII") to Ms. Mason on March 5, 2008.
- F2Price reflects weighted average sales price. Range of prices for transactions are $64.88 through $65.72. Full information regarding the number of shares sold at each separate price will be provided by the issuer upon request.