Martin Sean's Form 4 filing
Baxter International Inc (BAX) · filed Nov 3, 2021
- Accession no.
- 0001500332-21-000005
- Filed
- Nov 3, 2021
- Trade date
- Nov 1, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $1.71M. 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 1, 2021 | Common Stock, $1 par value | MOption exerciseAcquired | +21,450 | $50.77 | +$1,089,016.5 | 63,731 | Direct | |
| Nov 1, 2021 | Common Stock, $1 par value | SSaleDisposed | −19,876 | $79.53F2 | −$1,580,738.28 | 43,855 | Direct | |
| Nov 1, 2021 | Common Stock, $1 par value | SSaleDisposed | −1,574 | $80.03F3 | −$125,967.22 | 42,281 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 1, 2021 | Common Stock, $1 par value | MOption exerciseDisposed | −21,450 | $0.00 | $0 | 61,749 | 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 $78.93 through $79.92. 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.
- F3
Price reflects weighted average sales price. Range of prices for transactions are $79.94 through $80.14. 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.