Statement of Changes in Beneficial Ownership (4)
December 08 2020 - 4:24PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Humphries William D. |
2. Issuer Name and Ticker or Trading Symbol
Bausch Health Companies Inc.
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BHC
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President, Ortho-Dermatologics |
(Last)
(First)
(Middle)
400 SOMERSET CORPORATE BOULEVARD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/4/2020 |
(Street)
BRIDGEWATER, NJ 08807
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Shares, No Par Value | 12/4/2020 | | M | | 114055 | A | $14.38 | 349090 | D | |
Common Shares, No Par Value | 12/4/2020 | | S | | 114055 | D | $19.8711 (1) | 235035 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
Non-qualified Stock Options (right To Purchase) | $14.38 | 12/4/2020 | | M | | | 114055 | (2) | 3/1/2027 | Common Shares, No Par Value | 114055 | $0 | 0 | D | |
Explanation of Responses: |
(1) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.80 to $19.82 per share. The Reporting Person will provide to the Commission, the Issuer and any stockholder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range provided in this footnote. |
(2) | The options vest in equal installments on each of the first three anniversaries of the date of grant. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Humphries William D. 400 SOMERSET CORPORATE BOULEVARD BRIDGEWATER, NJ 08807 |
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| President, Ortho-Dermatologics |
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Signatures
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/s/ Kirsten O'Donnell, attorney-in-fact for William D. Humphries | | 12/8/2020 |
**Signature of Reporting Person | Date |
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