SEC Form 4 · accession 0001500332-17-000004
BAXTER INTERNATIONAL INC · BAX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sean Martin
Officer — CVP and General Counsel
Period of report
Mar 2, 2017
Accepted (ET)
Mar 6, 2017 · 4:39 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 valueF1 | Mar 2, 2017 | A | 20,000 | $0.00 | A | 20,000 | 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)F2 | $50.77 | Mar 2, 2017 | A | 150,000 | A | — | Mar 2, 2027 | Common Stock, $1 par value | 150,000 | 150,000 | D |
| Stock Option (Right to Buy)F3 | $50.77 | Mar 2, 2017 | A | 85,561 | A | — | Mar 2, 2027 | Common Stock, $1 par value | 85,561 | 85,561 | D |
Explanation of responses
- F1The restricted stock units will vest on March 2, 2020.
- F2The option becomes exercisable on March 2, 2020.
- F3The option becomes exercisable in three equal annual installments beginning on the first anniversary of the date of the grant.