SEC Form 4 · accession 0001127602-15-015205
BAKER HUGHES a GE Co LLC · BHI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Derek Mathieson
Officer — Vice President
Period of report
Apr 24, 2015
Accepted (ET)
Apr 27, 2015 · 4:08 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000808362
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $1.00 Par ValueF1 | Apr 24, 2015 | S | 18,602 | $68.1144 | D | 4,062 | D | |
| Common Stock, $1.00 Par Value | Apr 24, 2015 | M | 2,115 | $47.28 | A | 6,177 | D | |
| Common Stock, $1.00 Par ValueF2 | Apr 24, 2015 | S | 2,115 | $68.1224 | D | 4,062 | D | |
| Common Stock, $1.00 Par Value | Apr 24, 2015 | M | 10,800 | $49.17 | A | 14,862 | D | |
| Common Stock, $1.00 Par ValueF3 | Apr 24, 2015 | S | 10,800 | $68.1163 | D | 4,062 | D | |
| Common Stock, $1.00 Par Value | Apr 24, 2015 | M | 21,032 | $47.44 | A | 25,094 | D | |
| Common Stock, $1.00 Par ValueF4 | Apr 24, 2015 | S | 21,032 | $68.1299 | D | 4,062 | D | |
| Common Stock, $1.00 Par Value | Apr 24, 2015 | M | 16,928 | $39.30 | A | 20,990 | D | |
| Common Stock, $1.00 Par ValueF5 | Apr 24, 2015 | S | 16,928 | $68.1069 | D | 4,062 | D | |
| Common Stock, $1.00 Par Value | Apr 24, 2015 | M | 16,039 | $45.21 | A | 20,101 | D | |
| Common Stock, $1.00 Par ValueF6 | Apr 24, 2015 | S | 16,039 | $68.1074 | D | 4,062 | D | |
| Common Stock, $1.00 Par Value | Apr 24, 2015 | M | 7,596 | $47.75 | A | 11,658 | D | |
| Common Stock, $1.00 Par ValueF7 | Apr 24, 2015 | S | 7,596 | $68.1078 | D | 4,062 | D | |
| Common Stock, $1.00 Par Value | Apr 24, 2015 | M | 7,376 | $56.73 | A | 11,438 | D | |
| Common Stock, $1.00 Par ValueF8 | Apr 24, 2015 | S | 7,376 | $68.1058 | D | 4,062 | 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)F9 | $47.28 | Apr 24, 2015 | M | 2,115 | D | — | Jan 19, 2020 | Common Stock, $1.00 Par Value | 2,115 | 0 | D |
| Stock Option (Right to Buy)F9 | $49.17 | Apr 24, 2015 | M | 10,800 | D | — | Jul 21, 2020 | Common Stock, $1.00 Par Value | 10,800 | 0 | D |
| Stock Option (Right to Buy)F9 | $47.44 | Apr 24, 2015 | M | 21,032 | D | — | Jan 25, 2022 | Common Stock, $1.00 Par Value | 21,032 | 0 | D |
| Stock Option (Right to Buy)F9 | $39.30 | Apr 24, 2015 | M | 16,928 | D | — | Jul 16, 2022 | Common Stock, $1.00 Par Value | 16,928 | 8,465 | D |
| Stock Option (Right to Buy)F9 | $45.21 | Apr 24, 2015 | M | 16,039 | D | — | Jan 24, 2023 | Common Stock, $1.00 Par Value | 16,039 | 5,809 | D |
| Stock Option (Right to Buy)F9 | $47.75 | Apr 24, 2015 | M | 7,596 | D | — | Jul 24, 2023 | Common Stock, $1.00 Par Value | 7,596 | 15,192 | D |
| Stock Option (Right to Buy)F9 | $56.73 | Apr 24, 2015 | M | 7,376 | D | — | Jan 22, 2024 | Common Stock, $1.00 Par Value | 7,376 | 12,991 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.99 - $68.40, inclusive. The reporting person undertakes to provide to Baker Hughes Incorporated, any security holder of Baker Hughes Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.00 - $68.34, inclusive. The reporting person undertakes to provide to Baker Hughes Incorporated, any security holder of Baker Hughes Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.99 - $68.37, inclusive. The reporting person undertakes to provide to Baker Hughes Incorporated, any security holder of Baker Hughes Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.00 - $68.38, inclusive. The reporting person undertakes to provide to Baker Hughes Incorporated, any security holder of Baker Hughes Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.00 - $68.351, inclusive. The reporting person undertakes to provide to Baker Hughes Incorporated, any security holder of Baker Hughes Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.00 - $68.35, inclusive. The reporting person undertakes to provide to Baker Hughes Incorporated, any security holder of Baker Hughes Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.00 - $68.30, inclusive. The reporting person undertakes to provide to Baker Hughes Incorporated, any security holder of Baker Hughes Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F8The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.00 - $68.27, inclusive. The reporting person undertakes to provide to Baker Hughes Incorporated, any security holder of Baker Hughes Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F9The option vested in three equal annual installments beginning one year from the date of grant.