Close

Form 4 BAXTER INTERNATIONAL For: Mar 28 Filed by: STORM KORNELIS J.

March 30, 2018 4:05 PM EDT
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Expires: December 31, 2014
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person *
STORM KORNELIS J.

(Last) (First) (Middle)
ONE BAXTER PARKWAY

(Street)
DEERFIELD IL 60015

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
BAXTER INTERNATIONAL INC [ BAX ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
03/28/2018
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, $1 par value 03/28/2018   M (1)   3,760 A $ 33.77 26,272 D  
Common Stock, $1 par value 03/28/2018   M (2)   5,680 A $ 26.77 31,952 D  
Common Stock, $1 par Value 03/28/2018   M (3)   4,320 A $ 24.27 36,272 D  
Common Stock, $1 par value 03/28/2018   M (4)   4,990 A $ 31.26 41,262 D  
Common Stock, $1 par value 03/28/2018   M (5)   4,020 A $ 29.51 45,282 D  
Common Stock, $1 par value 03/28/2018   M (6)   3,930 A $ 36.92 49,212 D  
Common Stock, $1 par value 03/28/2018   M (7)   4,110 A $ 39.83 53,322 D  
Common Stock, $1 par value 03/28/2018   M (8)   10,789 A $ 37.5 64,111 D  
Common Stock, $1 par value 03/28/2018   M (9)   6,360 A $ 44.39 70,471 D  
Common Stock, $1 par value 03/28/2018   S (10)   39,059 D $ 64.55 (11) 31,412 D  
Common Stock, $1 par value 03/28/2018   S (10)   8,900 D $ 65.04 (12) 22,512 D  
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) $ 33.77 03/28/2018   M (1)     3,760 05/06/2009 05/04/2018 Common Stock, $1 par value 3,760 $ 0 0 D  
Stock Option (Right to Buy) $ 26.77 03/28/2018   M (2)     5,680 05/05/2010 05/05/2019 Common Stock, $1 par value 5,680 $ 0 0 D  
Stock Option (Right to Buy) $ 24.27 03/28/2018   M (3)     4,320 05/04/2011 05/04/2020 Common Stock, $1 par value 4,320 $ 0 0 D  
Stock Option (Right to Buy) $ 31.26 03/28/2018   M (4)     4,990 05/08/2012 05/03/2021 Common Stock, $1 par value 4,990 $ 0 0 D  
Stock Option (Right to Buy) $ 29.51 03/28/2018   M (5)     4,020 05/08/2013 05/08/2022 Common Stock, $1 par value 4,020 $ 0 0 D  
Stock Option (Right to Buy) $ 36.92 03/28/2018   M (6)     3,930 05/07/2014 05/05/2023 Common Stock, $1 par value 3,930 $ 0 0 D  
Stock Option (Right to Buy) $ 39.83 03/28/2018   M (7)     4,110 05/05/2015 05/06/2024 Common Stock, $1 par value 4,110 $ 0 0 D  
Stock Option (Right to Buy) $ 37.5 03/28/2018   M (8)     10,789 05/05/2016 05/05/2025 Common Stock, $1 par value 10,789 $ 0 0 D  
Stock Option (Right to Buy) $ 44.39 03/28/2018   M (9)     6,360 05/02/2017 05/01/2026 Common Stock, $1 par value 6,360 $ 0 0 D  
Explanation of Responses:
1. 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.
2. 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.
3. 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.
4. 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.
5. 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.
6. 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.
7. 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.
8. 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.
9. 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.
10. 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.
11. 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.
12. 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.
/s/ Ellen K. McIntosh, as attorney in-fact for Kornelis J. Storm 03/30/2018
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.


Serious News for Serious Traders! Try StreetInsider.com Premium Free!

You May Also Be Interested In





Related Categories

SEC Filings