SEC Form 4 · accession 0001678067-18-000001
BAXTER INTERNATIONAL INC · BAX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Giuseppe Accogli
Officer — SVP, President, Global Bus.
Period of report
Jan 2, 2018
Accepted (ET)
Jan 3, 2018 · 4:15 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 2, 2018 | M | 1,241 | $28.97 | A | 46,970 | D | |
| Common Stock, $1 par value | Jan 2, 2018 | M | 2,461 | $30.95 | A | 49,431 | D | |
| Common Stock, $1 par value | Jan 2, 2018 | M | 5,553 | $37.82 | A | 54,984 | D | |
| Common Stock, $1 par value | Jan 2, 2018 | M | 9,386 | $37.17 | A | 64,370 | D | |
| Common Stock, $1 par value | Jan 2, 2018 | M | 10,000 | $37.38 | A | 74,370 | D | |
| Common Stock, $1 par value | Jan 2, 2018 | S | 28,641 | $67.00 | D | 45,729 | 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) | $28.97 | Jan 2, 2018 | M | 1,241 | D | Mar 4, 2014 | Mar 4, 2022 | Common Stock, $1 par value | 1,241 | 0 | D |
| Stock Option (Right to Buy) | $30.95 | Jan 2, 2018 | M | 2,461 | D | Mar 6, 2015 | Mar 6, 2023 | Common Stock, $1 par value | 2,461 | 0 | D |
| Stock Option (Right to Buy) | $37.82 | Jan 2, 2018 | M | 1 | D | Mar 5, 2014 | Mar 5, 2024 | Common Stock, $1 par value | 1 | 0 | D |
| Stock Option (Right to Buy) | $37.82 | Jan 2, 2018 | M | 2,776 | D | Mar 5, 2015 | Mar 5, 2024 | Common Stock, $1 par value | 2,776 | 0 | D |
| Stock Option (Right to Buy) | $37.82 | Jan 2, 2018 | M | 2,776 | D | Mar 7, 2016 | Mar 5, 2024 | Common Stock, $1 par value | 2,776 | 0 | D |
| Stock Option (Right to Buy) | $37.17 | Jan 2, 2018 | M | 1,877 | D | Mar 4, 2015 | Mar 4, 2025 | Common Stock, $1 par value | 1,877 | 0 | D |
| Stock Option (Right to Buy) | $37.17 | Jan 2, 2018 | M | 3,754 | D | Mar 4, 2016 | Mar 4, 2025 | Common Stock, $1 par value | 3,754 | 0 | D |
| Stock Option (Right to Buy) | $37.17 | Jan 2, 2018 | M | 3,755 | D | Mar 6, 2017 | Mar 4, 2025 | Common Stock, $1 par value | 3,755 | 0 | D |
| Stock Option (Right to Buy) | $37.38 | Jan 2, 2018 | M | 10,000 | D | Mar 3, 2017 | Mar 3, 2026 | Common Stock, $1 par value | 10,000 | 0 | D |
Explanation of responses
- F1Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Accogli with respect to the stock options granted by Baxter International Inc. ("BII") to Mr. Accogli.