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BAXTER INTERNATIONAL INC — Director's Dealing 2013
Nov 25, 2013
30537_dirs_2013-11-25_bf759085-6d40-4cac-9391-48444041a19e.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CELL THERAPEUTICS INC (CTIC)
CIK: 0000891293
Period of Report: 2013-11-25
Reporting Person: Baxter Healthcare SA (10% Owner)
Reporting Person: BAXTER INTERNATIONAL INC (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-11-25 | Common Stock | C | 15673981 | $1.914 | Acquired | 15673981 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-11-25 | Series 19 Preferred Stock | $1.914 | C | 30000 | Disposed | Common Stock (15673981) | Direct |
Footnotes
F1: Each share of Series 19 Preferred Stock is convertible into shares of the Issuer's common stock at a rate determined by dividing the $1,000 stated value of each preferred share by the conversion price of $1.914 per common share.
F2: The reported securities are owned directly by Baxter Healthcare SA, which is an indirect wholly-owned subsidiary of Baxter International Inc. Baxter International Inc. is an indirect beneficial owner of the reported securities.
F3: The shares of Series 19 Preferred Stock acquired by the reporting persons are convertible into shares of the Issuer's common stock at any time at the holder's election, and are automatically convertible under certain circumstances but no later than December 15, 2013.