0001712314-21-000001.txt : 20210218 0001712314-21-000001.hdr.sgml : 20210218 20210218161048 ACCESSION NUMBER: 0001712314-21-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210216 FILED AS OF DATE: 20210218 DATE AS OF CHANGE: 20210218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Frye Andrew CENTRAL INDEX KEY: 0001712314 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04448 FILM NUMBER: 21649614 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 2021-02-16 0000010456 BAXTER INTERNATIONAL INC BAX 0001712314 Frye Andrew ONE BAXTER PARKWAY DEERFIELD IL 60015 0 1 0 0 SVP, President, APAC Common Stock, $1 par value 2021-02-16 4 A 0 659 0 A 16935 D Common Stock, $1 par value 2021-02-16 4 A 0 2419 0 A 19354 D Common Stock, $1 par value 2021-02-16 4 A 0 635 0 A 19989 D Represents shares awarded from the performance share unit award granted on March 1, 2018 pursuant to the Equity Plan adopted by Baxter International Inc. (Baxter) as of such date (the 2018 PSUs). The award provides that fifty percent of the performance share units are earned based on Baxter's Adjusted Operating Margin (OM) performance, as assessed annually over a three-year period. One-third of the OM performance share units are allocated to each one-year period. The number of shares reported on this Form 4 represents the shares awarded based on Baxter's OM during the January 1, 2020 to December 31, 2020 performance period. These shares have vested as the relevant three-year performance period January 1, 2018 to December 31, 2020 (the Three-Year Performance Period) has ended. Represents shares awarded from the 2018 PSUs. The award provides that fifty percent of the performance share units are earned based on Baxter's Total Shareholder Return (TSR) performance over the Three-Year Performance Period. The number of shares reported on this Form 4 represents the shares awarded based on Baxter's TSR during the Three-Year Performance Period. These shares have vested as the Three-Year Performance Period has ended. Represents shares earned from the performance share unit award granted on February 28, 2019 pursuant to the Equity Plan adopted by Baxter as of such date. The award provides that fifty percent of the performance share units are earned based on Baxter's OM performance, as assessed annually over a three-year period. One-third of the OM performance share units are allocated to each one-year period. The number of shares reported on this Form 4 represents the shares earned based on Baxter's OM, as assessed from January 1, 2020 to December 31, 2020. These shares are scheduled to vest after the end of the relevant three-year performance period (which runs from Janaury 1, 2019 through December 31, 2021). /s/ Matthew Rice, as attorney in-fact for Andrew Frye 2021-02-18