SEC Form 4 · accession 0000899243-15-000628
Baxalta Inc · BXLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Blake E Devitt
Director
Period of report
Jul 1, 2015
Accepted (ET)
Jul 6, 2015 · 8:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001620546
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.01 per shareF1 | Jul 1, 2015 | J | 18,241 | $0.00 | A | 18,241 | D | |
| Common Stock, par value $0.01 per shareF2 | Jul 1, 2015 | J | 3,781 | $0.00 | A | 22,022 | 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)F3,F4 | $26.33 | Jul 1, 2015 | J | 4,280 | A | — | May 1, 2017 | Common Stock, par value $0.01 per share | 4,280 | 4,280 | D |
| Stock Option (Right to Buy)F3,F4 | $28.95 | Jul 1, 2015 | J | 3,760 | A | — | May 6, 2018 | Common Stock, par value $0.01 per share | 3,760 | 3,760 | D |
| Stock Option (Right to Buy)F3,F4 | $22.95 | Jul 1, 2015 | J | 5,680 | A | — | May 5, 2019 | Common Stock, par value $0.01 per share | 5,680 | 5,680 | D |
| Stock Option (Right to Buy)F3,F4 | $20.81 | Jul 1, 2015 | J | 4,320 | A | — | May 4, 2020 | Common Stock, par value $0.01 per share | 4,320 | 4,320 | D |
| Stock Option (Right to Buy)F3,F4 | $26.80 | Jul 1, 2015 | J | 4,990 | A | — | May 3, 2021 | Common Stock, par value $0.01 per share | 4,990 | 4,990 | D |
| Stock Option (Right to Buy)F3,F4 | $25.30 | Jul 1, 2015 | J | 4,020 | A | — | May 8, 2022 | Common Stock, par value $0.01 per share | 4,020 | 4,020 | D |
| Stock Option (Right to Buy)F3,F4 | $31.65 | Jul 1, 2015 | J | 3,930 | A | — | May 7, 2023 | Common Stock, par value $0.01 per share | 3,930 | 3,930 | D |
| Stock Option (Right to Buy)F3,F4 | $34.14 | Jul 1, 2015 | J | 4,110 | A | — | May 6, 2024 | Common Stock, par value $0.01 per share | 4,110 | 4,110 | D |
| Stock Option (Right to Buy)F3,F5 | $32.15 | Jul 1, 2015 | J | 12,588 | A | — | May 5, 2025 | Common Stock, par value $0.01 per share | 12,588 | 12,588 | D |
| Stock Option (Right to Buy)F6 | $31.50 | Jul 1, 2015 | A | 293 | A | — | Jul 1, 2025 | Common Stock, par value $0.01 per share | 293 | 293 | D |
Explanation of responses
- F1Represents shares of Baxalta Incorporated ("Baxalta") common stock received in connection with the spin-off (the "Spin-off") of Baxalta from Baxter International Inc. ("Baxter"), in an exempt transaction pursuant to Rule 16a-9.
- F2Represents restricted stock units granted by Baxalta to the reporting person as a result of the adjustment of existing Baxter restricted stock units held by the reporting person prior to the Spin-off. The restricted stock units vest on the date of the Baxalta 2016 annual meeting of shareholders.
- F3Represents options to purchase shares of Baxalta common stock granted to the reporting person as a result of adjustments to existing Baxter stock options made in connection with the Spin-Off.
- F4This option is presently exercisable in full.
- F5This option will vest on May 5, 2016.
- F6This option will vest on the date of the Baxalta 2016 annual meeting of shareholders.