SEC Form 4 · accession 0000950103-19-003221
Baker Hughes Co · BKR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthias L Heilmann
Officer — Chief Digital Officer
Period of report
Jul 28, 2017
Accepted (ET)
Mar 8, 2019 · 3:23 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001701605
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Call Option (obligation to sell)F2 | $40.00 | Jul 28, 2017 | S | 10 | D | — | Sep 15, 2017 | Class A Common Stock | 1,000 | 10 | D |
| Call Option (obligation to sell)F2 | $40.00 | Jul 28, 2017 | S | 10 | D | — | Sep 15, 2017 | Class A Common Stock | 1,000 | 20 | D |
| Call Option (right to buy)F3 | $40.00 | Aug 14, 2017 | P | 20 | A | — | Sep 15, 2017 | Class A Common Stock | 2,000 | 0 | D |
| Call Option (right to buy)F3 | $32.50 | Oct 20, 2017 | P | 10 | A | — | Jan 19, 2018 | Class A Common Stock | 1,000 | 10 | D |
| Call Option (obligation to sell)F2 | $34.00 | Oct 20, 2017 | S | 20 | D | — | Jan 19, 2018 | Class A Common Stock | 2,000 | 20 | D |
| Call Option (right to buy)F3 | $32.00 | Oct 30, 2017 | P | 10 | A | — | Dec 15, 2017 | Class A Common Stock | 1,000 | 10 | D |
| Call Option (right to buy)F3 | $32.00 | Oct 30, 2017 | P | 10 | A | — | Dec 15, 2017 | Class A Common Stock | 1,000 | 20 | D |
| Call Option (obligation to sell)F2 | $33.00 | Oct 30, 2017 | S | 20 | D | — | Dec 15, 2017 | Class A Common Stock | 2,000 | 20 | D |
| Call Option (obligation to sell)F2 | $33.00 | Oct 30, 2017 | S | 20 | D | — | Dec 15, 2017 | Class A Common Stock | 2,000 | 40 | D |
| Call Option (right to buy)F3 | $33.00 | Dec 6, 2017 | P | 40 | A | — | Dec 15, 2017 | Class A Common Stock | 4,000 | 0 | D |
| Call Option (right to buy)F3 | $34.00 | Jan 11, 2018 | P | 10 | A | — | Jan 19, 2018 | Class A Common Stock | 1,000 | 10 | D |
| Call Option (obligation to sell)F2 | $34.00 | Jan 11, 2018 | S | 10 | D | — | Feb 16, 2018 | Class A Common Stock | 1,000 | 10 | D |
| Call Option (obligation to sell)F2 | $32.50 | Jan 19, 2018 | S | 10 | D | — | Jan 19, 2018 | Class A Common Stock | 1,000 | 0 | D |
| Call Option (right to buy)F3 | $34.00 | Jan 19, 2018 | P | 10 | A | — | Jan 19, 2018 | Class A Common Stock | 1,000 | 0 | D |
| Call Option (right to buy)F3 | $34.00 | Jan 31, 2018 | P | 10 | A | — | Feb 16, 2018 | Class A Common Stock | 1,000 | 0 | D |
| Call Option (obligation to sell)F2 | $33.00 | Jan 31, 2018 | S | 10 | D | — | Mar 16, 2018 | Class A Common Stock | 1,000 | 10 | D |
| Call Option (right to buy)F3 | $33.00 | Feb 9, 2018 | P | 10 | A | — | Mar 16, 2018 | Class A Common Stock | 1,000 | 0 | D |
| Call Option (obligation to sell)F2 | $36.00 | Apr 20, 2018 | S | 15 | D | — | May 18, 2018 | Class A Common Stock | 1,500 | 15 | D |
| Call Option (obligation to sell)F2 | $36.00 | Apr 20, 2018 | S | 15 | D | — | May 18, 2018 | Class A Common Stock | 1,500 | 30 | D |
| Call Option (right to buy)F3 | $36.00 | May 9, 2018 | P | 30 | A | — | May 18, 2018 | Class A Common Stock | 3,000 | 0 | D |
| Call Option (obligation to sell)F2 | $36.00 | May 9, 2018 | S | 30 | D | — | Jun 15, 2018 | Class A Common Stock | 3,000 | 30 | D |
| Call Option (obligation to sell)F2 | $37.00 | May 9, 2018 | S | 5 | D | — | Jun 15, 2018 | Class A Common Stock | 500 | 5 | D |
| Call Option (right to buy)F3 | $37.00 | Jun 1, 2018 | P | 5 | A | — | Jun 15, 2018 | Class A Common Stock | 500 | 0 | D |
| Call Option (obligation to sell)F2 | $36.00 | Jun 1, 2018 | S | 5 | D | — | Jul 20, 2018 | Class A Common Stock | 500 | 5 | D |
| Call Option (right to buy)F3 | $36.00 | Jun 4, 2018 | P | 30 | A | — | Jun 15, 2018 | Class A Common Stock | 3,000 | 0 | D |
| Call Option (obligation to sell)F2 | $33.00 | Jun 4, 2018 | S | 30 | D | — | Jul 20, 2018 | Class A Common Stock | 3,000 | 30 | D |
| Call Option (right to buy)F3 | $36.00 | Jul 10, 2018 | P | 5 | A | — | Jul 20, 2018 | Class A Common Stock | 500 | 0 | D |
| Call Option (right to buy)F3 | $33.00 | Jul 10, 2018 | P | 30 | A | — | Jul 20, 2018 | Class A Common Stock | 3,000 | 0 | D |
Explanation of responses
- F1The reporting person's transactions reported herein are matchable under 16(b) of the Securities Exchange Act of 1934. The reporting person has agreed to pay to Issuer an aggregate amount of $28,549.62, representing the full amount of the profit realized in connection with the transactions reported herein, together with the transactions reported on the Form 4 filed concurrently with this Form 4 on this date, that reports transactions beginning on 7/10/2018. As of March 6, 2019, the reporting person is no longer employed by Issuer.
- F2Exercisable by the holder at any time.
- F3Exercisable by the reporting person at any time.