SEC Form 4 · accession 0001678065-18-000004
BAXTER INTERNATIONAL INC · BAX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Pleau
Officer — SVP, Operations
Period of report
Jul 10, 2018
Accepted (ET)
Jul 12, 2018 · 4:56 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 | Jul 10, 2018 | M | 6,136 | $46.18 | A | 26,349 | D | |
| Common Stock, $1 par value | Jul 10, 2018 | M | 4,550 | $50.77 | A | 30,899 | D | |
| Common Stock, $1 par value | Jul 10, 2018 | S | 10,686 | $75.00 | D | 20,213 | 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) | $46.18 | Jul 10, 2018 | M | 6,136 | D | Sep 1, 2017 | Sep 1, 2026 | Common Stock, $1 par value | 6,136 | 0 | D |
| Stock Option (Right to Buy) | $50.77 | Jul 10, 2018 | M | 4,550 | D | Mar 2, 2018 | Mar 2, 2027 | Common Stock, $1 par value | 4,550 | 9,710 | D |
Explanation of responses
- F1Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Pleau with respect to certain vested stock options granted by Baxter International Inc. to Mr. Pleau.