SEC Form 4 · accession 0000950103-19-003222
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 10, 2018
Accepted (ET)
Mar 8, 2019 · 3:27 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001701605
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Nov 19, 2018 | X | 100 | $34.00 | A | 3,843 | D | |
| Class A Common Stock | Nov 28, 2018 | X | 200 | $34.00 | A | 4,043 | D |
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 | $33.00 | Jul 10, 2018 | S | 30 | D | — | Aug 17, 2018 | Class A Common Stock | 3,000 | 30 | D |
| Call Option (obligation to sell)F2 | $36.00 | Jul 10, 2018 | S | 5 | D | — | Aug 17, 2018 | Class A Common Stock | 500 | 5 | D |
| Call Option (right to buy)F3 | $36.00 | Jul 20, 2018 | P | 5 | A | — | Aug 17, 2018 | Class A Common Stock | 500 | 0 | D |
| Call Option (obligation to sell)F2 | $33.00 | Jul 20, 2018 | S | 5 | D | — | Oct 19, 2018 | Class A Common Stock | 500 | 5 | D |
| Call Option (right to buy)F3 | $33.00 | Jul 27, 2018 | P | 30 | A | — | Aug 17, 2018 | Class A Common Stock | 3,000 | 0 | D |
| Call Option (obligation to sell)F2 | $33.00 | Jul 27, 2018 | S | 30 | D | — | Sep 21, 2018 | Class A Common Stock | 3,000 | 30 | D |
| Call Option (right to buy)F3 | $33.00 | Aug 7, 2018 | P | 30 | A | — | Sep 21, 2018 | Class A Common Stock | 3,000 | 0 | D |
| Call Option (obligation to sell)F2 | $33.00 | Aug 7, 2018 | S | 30 | D | — | Oct 19, 2018 | Class A Common Stock | 3,000 | 35 | D |
| Put Option (obligation to buy)F2 | $34.00 | Aug 7, 2018 | S | 3 | D | — | Sep 21, 2018 | Class A Common Stock | 300 | 3 | D |
| Put Option (right to sell)F3 | $34.00 | Aug 22, 2018 | P | 3 | A | — | Sep 21, 2018 | Class A Common Stock | 300 | 0 | D |
| Put Option (obligation to buy)F3 | $34.00 | Aug 22, 2018 | S | 3 | D | — | Oct 19, 2018 | Class A Common Stock | 300 | 3 | D |
| Call Option (right to buy)F3 | $33.00 | Oct 16, 2018 | P | 3 | A | — | Oct 19, 2018 | Class A Common Stock | 300 | 32 | D |
| Call Option (right to buy)F3 | $33.00 | Oct 16, 2018 | P | 32 | A | — | Oct 19, 2018 | Class A Common Stock | 3,200 | 0 | D |
| Put Option (right to sell)F3 | $34.00 | Oct 16, 2018 | P | 3 | A | — | Oct 19, 2018 | Class A Common Stock | 300 | 0 | D |
| Put Option (obligation to buy)F2 | $34.00 | Oct 16, 2018 | S | 3 | D | — | Nov 16, 2018 | Class A Common Stock | 300 | 3 | D |
| Put Option (right to sell)F3 | $34.00 | Oct 29, 2018 | P | 3 | A | — | Nov 16, 2018 | Class A Common Stock | 300 | 0 | D |
| Put Option (obligation to buy)F2 | $34.00 | Oct 29, 2018 | S | 1 | D | — | Jan 18, 2019 | Class A Common Stock | 100 | 1 | D |
| Put Option (obligation to buy)F2 | $34.00 | Oct 29, 2018 | S | 2 | D | — | Jan 18, 2019 | Class A Common Stock | 200 | 3 | D |
| Put Option (obligation to buy) | $34.00 | Nov 19, 2018 | X | 1 | D | Oct 29, 2018 | Jan 18, 2019 | Class A Common Stock | 100 | 2 | D |
| Put Option (obligation to buy) | $34.00 | Nov 28, 2018 | X | 2 | D | Oct 29, 2018 | Jan 18, 2019 | Class A Common Stock | 200 | 0 | D |
| Call Option (obligation to sell)F2 | $25.00 | Feb 1, 2019 | S | 10 | D | — | Mar 15, 2019 | Class A Common Stock | 1,000 | 10 | D |
| Call Option (right to buy)F3 | $25.00 | Feb 12, 2019 | P | 10 | A | — | Mar 15, 2019 | Class A Common Stock | 1,000 | 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 7/28/2017. 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.