Martin Sean's Form 4 filing
Baxter International Inc (BAX) · filed Aug 4, 2021
- Accession no.
- 0001500332-21-000003
- Filed
- Aug 4, 2021
- Trade date
- Aug 2, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $1.53M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Martin SeanCIK 0001500332 | Officer (SVP and General Counsel) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 2, 2021 | Common Stock, $1 par value | MOption exerciseAcquired | +19,800 | $50.77 | +$1,005,246 | 61,977 | Direct | |
| Aug 2, 2021 | Common Stock, $1 par value | SSaleDisposed | −19,800 | $77.26F2 | −$1,529,748 | 42,177 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 2, 2021 | Common Stock, $1 par value | MOption exerciseDisposed | −19,800 | $0.00 | $0 | 83,199 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
Price reflects weighted average sales price. Range of prices for transactions are $76.91 through $77.81. Full information regarding the number of shares sold at each separate price will be provided by BII upon request.
Referenced by the price of 1 transaction in Table I.