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BAXTER INTERNATIONAL INC — Director's Dealing 2018
Mar 30, 2018
30537_dirs_2018-03-30_81d2cab8-4f69-4af6-bacb-b45cf30e327d.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: BAXTER INTERNATIONAL INC (BAX)
CIK: 0000010456
Period of Report: 2018-03-28
Reporting Person: STORM KORNELIS J. (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-03-28 | Common Stock, $1 par value | M | 3760 | $33.77 | Acquired | 26272 | Direct |
| 2018-03-28 | Common Stock, $1 par value | M | 5680 | $26.77 | Acquired | 31952 | Direct |
| 2018-03-28 | Common Stock, $1 par Value | M | 4320 | $24.27 | Acquired | 36272 | Direct |
| 2018-03-28 | Common Stock, $1 par value | M | 4990 | $31.26 | Acquired | 41262 | Direct |
| 2018-03-28 | Common Stock, $1 par value | M | 4020 | $29.51 | Acquired | 45282 | Direct |
| 2018-03-28 | Common Stock, $1 par value | M | 3930 | $36.92 | Acquired | 49212 | Direct |
| 2018-03-28 | Common Stock, $1 par value | M | 4110 | $39.83 | Acquired | 53322 | Direct |
| 2018-03-28 | Common Stock, $1 par value | M | 10789 | $37.50 | Acquired | 64111 | Direct |
| 2018-03-28 | Common Stock, $1 par value | M | 6360 | $44.39 | Acquired | 70471 | Direct |
| 2018-03-28 | Common Stock, $1 par value | S | 39059 | $64.55 | Disposed | 31412 | Direct |
| 2018-03-28 | Common Stock, $1 par value | S | 8900 | $65.04 | Disposed | 22512 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-03-28 | Stock Option (Right to Buy) | $33.77 | M | 3760 | Disposed | 2018-05-04 | Common Stock, $1 par value (3760) | Direct |
| 2018-03-28 | Stock Option (Right to Buy) | $26.77 | M | 5680 | Disposed | 2019-05-05 | Common Stock, $1 par value (5680) | Direct |
| 2018-03-28 | Stock Option (Right to Buy) | $24.27 | M | 4320 | Disposed | 2020-05-04 | Common Stock, $1 par value (4320) | Direct |
| 2018-03-28 | Stock Option (Right to Buy) | $31.26 | M | 4990 | Disposed | 2021-05-03 | Common Stock, $1 par value (4990) | Direct |
| 2018-03-28 | Stock Option (Right to Buy) | $29.51 | M | 4020 | Disposed | 2022-05-08 | Common Stock, $1 par value (4020) | Direct |
| 2018-03-28 | Stock Option (Right to Buy) | $36.92 | M | 3930 | Disposed | 2023-05-05 | Common Stock, $1 par value (3930) | Direct |
| 2018-03-28 | Stock Option (Right to Buy) | $39.83 | M | 4110 | Disposed | 2024-05-06 | Common Stock, $1 par value (4110) | Direct |
| 2018-03-28 | Stock Option (Right to Buy) | $37.50 | M | 10789 | Disposed | 2025-05-05 | Common Stock, $1 par value (10789) | Direct |
| 2018-03-28 | Stock Option (Right to Buy) | $44.39 | M | 6360 | Disposed | 2026-05-01 | Common Stock, $1 par value (6360) | Direct |
Footnotes
F1: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Storm with respect to the stock options granted by Baxter International Inc. ("BII") to Mr. Storm on May 6, 2008.
F2: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Storm with respect to the stock options granted by BII to Mr. Storm on May 5, 2009.
F3: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Storm with respect to the stock options granted by BII to Mr. Storm on May 4, 2010.
F4: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Storm with respect to the stock options granted by BII to Mr. Storm on May 3, 2011.
F5: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Storm with respect to the stock options granted by BII to Mr. Storm on May 8, 2012.
F6: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Storm with respect to the stock options granted by BII to Mr. Storm on May 7, 2013.
F7: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Storm with respect to the stock options granted by BII to Mr. Storm on May 6, 2014.
F8: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Storm with respect to the stock options granted by BII to Mr. Storm on May 5, 2015.
F9: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Storm with respect to the stock options granted by BII to Mr. Storm on May 3, 2016.
F10: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Storm with respect to the stock options granted by BII to Mr. Storm.
F11: Price reflects weighted average sales price. Range of prices for transactions are $63.96 through $64.96. Full information regarding the number of shares sold at each separate price will be provided by the issuer upon request.
F12: Price reflects weighted average sales price. Range of prices for transactions are $64.97 through $65.23. Full information regarding the number of shares sold at each separate price will be provided by the issuer upon request.