Filing Details
- Accession Number:
- 0001107468-21-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-04-07 18:55:25
- Reporting Period:
- 2021-04-05
- Accepted Time:
- 2021-04-07 18:55:25
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 10456 | Baxter International Inc | BAX | Surgical & Medical Instruments & Apparatus (3841) | 360781620 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1107468 | S Peter Hellman | One Baxter Parkway Deerfield IL 60015 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, $1 Par Value | Acquisiton | 2021-04-05 | 4,990 | $31.26 | 30,389 | No | 4 | M | Direct | |
| Common Stock, $1 Par Value | Disposition | 2021-04-05 | 4,990 | $84.56 | 25,399 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock, $1 Par Value | Stock Option (Right to Buy) | Disposition | 2021-01-06 | 6,437 | $0.00 | 6,437 | $69.45 |
| Common Stock, $1 Par Value | Stock Option (Right to Buy) | Acquisiton | 2021-01-06 | 6,437 | $0.00 | 6,437 | $69.45 |
| Common Stock, $1 Par Value | Stock Option (Right to Buy) | Disposition | 2021-01-06 | 6,138 | $0.00 | 6,138 | $76.69 |
| Common Stock, $1 Par Value | Stock Option (Right to Buy) | Acquisiton | 2021-01-06 | 6,138 | $0.00 | 6,138 | $76.69 |
| Common Stock, $1 Par Value | Stock Option (Right to Buy) | Disposition | 2021-01-06 | 5,293 | $0.00 | 5,293 | $88.74 |
| Common Stock, $1 Par Value | Stock Option (Right to Buy) | Acquisiton | 2021-01-06 | 5,293 | $0.00 | 5,293 | $88.74 |
| Common Stock, $1 Par Value | Stock Option (Right to Buy) | Disposition | 2021-04-05 | 4,990 | $0.00 | 4,990 | $31.26 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2028-05-08 | No | 4 | G | Direct | |
| 6,437 | 2028-05-08 | No | 4 | G | Indirect | |
| 0 | 2029-05-07 | No | 4 | G | Direct | |
| 6,138 | 2029-05-07 | No | 4 | G | Indirect | |
| 0 | 2030-05-03 | No | 4 | G | Direct | |
| 5,293 | 2030-05-03 | No | 4 | G | Indirect | |
| 0 | 2012-05-08 | 2021-05-03 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, $1 Par Value | 560 | Indirect | Held by Spouse |
Footnotes
- 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.
- The options are granted 05/08/2018, are fully vested, subject to the terms and conditions of the applicable grant.
- The options graned 05/07/2019, are fully vested, subject to the terms and conditions of the applicable grant.
- The options granted 05/05/2020, are fully vested, subject to the terms and conditions of the applicable grant.
- 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.
- 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.
Billionaire Hedge Funds
