SEC Form 4 · accession 0001362109-19-000001
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
Jan 31, 2019
Accepted (ET)
Feb 4, 2019 · 6:27 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 | Jan 31, 2019 | M | 37,274 | $31.77 | A | 134,656 | D | |
| Common Stock, $1 par value | Jan 31, 2019 | S | 37,274 | $72.00 | D | 97,382 | 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) | $31.77 | Jan 31, 2019 | M | 12,424 | D | Mar 3, 2011 | Mar 3, 2020 | Common Stock, $1 par value | 12,424 | 24,850 | D |
| Stock Option (Right to Buy) | $31.77 | Jan 31, 2019 | M | 12,425 | D | Mar 5, 2012 | Mar 3, 2020 | Common Stock, $1 par value | 12,425 | 12,425 | D |
| Stock Option (Right to Buy) | $31.77 | Jan 31, 2019 | M | 12,425 | D | Mar 4, 2013 | Mar 3, 2020 | Common Stock, $1 par value | 12,425 | 0 | D |
Explanation of responses
- F1Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Ms. Mason with respect to certain Stock Options previously granted by Baxter International Inc. to Ms. Mason.