SEC Form 4 · accession 0000899243-15-001869
Baxalta Inc · BXLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Karen Jean Ferrante
Director
Period of report
Jul 27, 2015
Accepted (ET)
Jul 29, 2015 · 5:27 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 27, 2015 | A | 3,140 | $0.00 | D | 3,140 | 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,F3 | $30.60 | Jul 27, 2015 | A | 5,960 | A | — | Jul 27, 2025 | Common Stock, par value $0.01 per share | 5,960 | 5,960 | D |
Explanation of responses
- F1Represents restricted stock units granted by Baxalta Incorporated ("Baxalta") to the reporting person. The restricted stock units vest on the date of the Baxalta 2016 annual meeting of shareholders.
- F2Represents options to purchase shares of Baxalta common stock granted to the reporting person.
- F3This option will vest on the date of the Baxalta 2016 annual meeting of shareholders.