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BAXTER INTERNATIONAL INC — Director's Dealing 2018
Mar 30, 2018
30537_dirs_2018-03-30_54580013-cb92-49b9-aca6-63d16fbbcc12.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: GAVIN JAMES R III (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 | 36398 | Direct |
| 2018-03-28 | Common Stock, $1 par value | M | 5680 | $26.77 | Acquired | 42078 | Direct |
| 2018-03-28 | Common Stock, $1 par value | M | 4320 | $24.27 | Acquired | 46398 | Direct |
| 2018-03-28 | Common Stock, $1 par value | M | 4990 | $31.26 | Acquired | 51388 | Direct |
| 2018-03-28 | Common Stock, $1 par value | S | 17050 | $64.51 | Disposed | 34338 | Direct |
| 2018-03-28 | Common Stock, $1 par value | S | 1700 | $65.06 | Disposed | 32638 | 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 |
Footnotes
F1: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Gavin with respect to the stock options granted by Baxter International Inc. ("BII") to Mr. Gavin on May 6, 2008.
F2: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Gavin with respect to the stock options granted by BII to Mr. Gavin on May 5, 2009.
F3: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Gavin with respect to the stock options granted by BII to Mr. Gavin on May 4, 2010.
F4: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Gavin with respect to the stock options granted by BII to Mr. Gavin on May 3, 2011.
F5: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Gavin with respect to the stock options granted by BII to Mr. Gavin.
F6: Price reflects weighted average sales price. Range of prices for transactions are $63.99 through $64.99. Full information regarding the number of shares sold at each separate price will be provided by the issuer upon request.
F7: Price reflects weighted average sales price. Range of prices for transactions are $65.00 through $65.21. Full information regarding the number of shares sold at each separate price will be provided by the issuer upon request.