0001107468-21-000002.txt : 20210407 0001107468-21-000002.hdr.sgml : 20210407 20210407185525 ACCESSION NUMBER: 0001107468-21-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210405 FILED AS OF DATE: 20210407 DATE AS OF CHANGE: 20210407 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HELLMAN PETER S CENTRAL INDEX KEY: 0001107468 STATE OF INCORPORATION: OH FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04448 FILM NUMBER: 21813406 MAIL ADDRESS: STREET 1: ONE BAXTER PARKWAY CITY: DEERFIELD STATE: IL ZIP: 60015 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BAXTER INTERNATIONAL INC CENTRAL INDEX KEY: 0000010456 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 360781620 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE BAXTER PKWY STREET 2: DF2-1W CITY: DEERFIELD STATE: IL ZIP: 60015 BUSINESS PHONE: 8479482000 MAIL ADDRESS: STREET 1: ONE BAXTER PARKWAY STREET 2: DF2-1W CITY: DEERFIELD STATE: IL ZIP: 60015 FORMER COMPANY: FORMER CONFORMED NAME: BAXTER TRAVENOL LABORATORIES INC DATE OF NAME CHANGE: 19880522 FORMER COMPANY: FORMER CONFORMED NAME: BAXTER LABORATORIES INC DATE OF NAME CHANGE: 19760608 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2021-04-05 0000010456 BAXTER INTERNATIONAL INC BAX 0001107468 HELLMAN PETER S ONE BAXTER PARKWAY DEERFIELD IL 60015 1 0 0 0 Common Stock, $1 par value 2021-04-05 4 M 0 4990 31.26 A 30389 D Common Stock, $1 par value 2021-04-05 4 S 0 4990 84.56 D 25399 D Common Stock, $1 par value 560 I Held by Spouse Stock Option (Right to Buy) 69.45 2021-01-06 4 G 0 6437 0 D 2028-05-08 Common Stock, $1 par value 6437 0 D Stock Option (Right to Buy) 69.45 2021-01-06 4 G 0 6437 0 A 2028-05-08 Common Stock, $1 par value 6437 6437 I Held by Peter S. Hellman Dynasty Trust Stock Option (Right to Buy) 76.69 2021-01-06 4 G 0 6138 0 D 2029-05-07 Common Stock, $1 par value 6138 0 D Stock Option (Right to Buy) 76.69 2021-01-06 4 G 0 6138 0 A 2029-05-07 Common Stock, $1 par value 6138 6138 I Held by Peter S. Hellman Dynasty Trust Stock Option (Right to Buy) 88.74 2021-01-06 4 G 0 5293 0 D 2030-05-03 Common Stock, $1 par value 5293 0 D Stock Option (Right to Buy) 88.74 2021-01-06 4 G 0 5293 0 A 2030-05-03 Common Stock, $1 par value 5293 5293 I Held by Peter S. Hellman Dynasty Trust Stock Option (Right to Buy) 31.26 2021-04-05 4 M 0 4990 0 D 2012-05-08 2021-05-03 Common Stock, $1 par value 4990 0 D 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. /s/ Matthew Rice, as attorney in-fact for Peter S. Hellman 2021-04-07