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BAXTER INTERNATIONAL INC — Director's Dealing 2021
Apr 8, 2021
30537_dirs_2021-04-07_a688be5d-504b-4502-84cb-a65f937409ee.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: 2021-04-05
Reporting Person: HELLMAN PETER S (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-04-05 | Common Stock, $1 par value | M | 4990 | $31.26 | Acquired | 30389 | Direct |
| 2021-04-05 | Common Stock, $1 par value | S | 4990 | $84.56 | Disposed | 25399 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-01-06 | Stock Option (Right to Buy) | $69.45 | G | 6437 | Disposed | 2028-05-08 | Common Stock, $1 par value (6437) | Direct |
| 2021-01-06 | Stock Option (Right to Buy) | $69.45 | G | 6437 | Acquired | 2028-05-08 | Common Stock, $1 par value (6437) | Indirect |
| 2021-01-06 | Stock Option (Right to Buy) | $76.69 | G | 6138 | Disposed | 2029-05-07 | Common Stock, $1 par value (6138) | Direct |
| 2021-01-06 | Stock Option (Right to Buy) | $76.69 | G | 6138 | Acquired | 2029-05-07 | Common Stock, $1 par value (6138) | Indirect |
| 2021-01-06 | Stock Option (Right to Buy) | $88.74 | G | 5293 | Disposed | 2030-05-03 | Common Stock, $1 par value (5293) | Direct |
| 2021-01-06 | Stock Option (Right to Buy) | $88.74 | G | 5293 | Acquired | 2030-05-03 | Common Stock, $1 par value (5293) | Indirect |
| 2021-04-05 | Stock Option (Right to Buy) | $31.26 | M | 4990 | Disposed | 2021-05-03 | Common Stock, $1 par value (4990) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, $1 par value | 560 | Indirect |
Footnotes
F1: Represents the bona fide gifts of options granted to Mr. Hellman by Baxter International Inc. ("BII") to the Peter S. Hellman Dynasty Trust for the benefit of Mr. Hellman's immediate family.
F2: The options are granted 05/08/2018, are fully vested, subject to the terms and conditions of the applicable grant.
F3: The options graned 05/07/2019, are fully vested, subject to the terms and conditions of the applicable grant.
F4: The options granted 05/05/2020, are fully vested, subject to the terms and conditions of the applicable grant.
F5: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Hellman with respect to certain vested stock options previously granted by BII to Mr. Hellman.
F6: Price reflects weighted average sales price. Range of prices for transactions are $84.34 through $84.75. Full information regarding the number of shares sold at each separate price will be provided by BII upon request.