BAX

SEC source: 0001262931-21-000001 · edgar.xml · nonDerivative · entry 1

FORSYTH JOHN D · CIK 0001262931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,315

F1 · shares: The reporting person received a grant of fully vested shares of common stock of Baxter International Inc. ("Company"), subject to the terms and conditions of the applicable grant.

SEC source: 0001842866-21-000003 · edgar.xml · nonDerivative · entry 1

Wilkes David S. · CIK 0001842866 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,597

F1 · shares: The reporting person received a grant of fully vested shares of common stock of Baxter International Inc., subject to the terms and conditions of the applicable grant.

SEC source: 0001400568-21-000001 · edgar.xml · derivative · entry 2

Wendell Amy McBride · CIK 0001400568 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,685

Underlying: Common Stock, $1 par value · 5,685 shares

Expires 2031-05-04

F2 · derivative.exercise_date: The reporting person received a grant of fully vested Company stock options, subject to the terms and conditions of the applicable grant.

SEC source: 0001400568-21-000001 · edgar.xml · nonDerivative · entry 1

Wendell Amy McBride · CIK 0001400568 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,365

F1 · shares: The reporting person received a grant of fully vested shares of common stock of Baxter International Inc. ("Company"), subject to the terms and conditions of the applicable grant.

SEC source: 0001205438-21-000002 · edgar.xml · nonDerivative · entry 1

STROUCKEN ALBERT P L · CIK 0001205438 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,126

F1 · shares: The reporting person received a grant of fully vested shares of common stock of Baxter International Inc., subject to the terms and conditions of the applicable grant.

SEC source: 0001124165-21-000001 · edgar.xml · nonDerivative · entry 1

STALLKAMP THOMAS T · CIK 0001124165 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,576

F1 · shares: The reporting person received a grant of fully vested shares of common stock of Baxter International Inc., subject to the terms and conditions of the applicable grant.

SEC source: 0001322028-21-000001 · edgar.xml · nonDerivative · entry 1

Smith Cathy R · CIK 0001322028 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,475

F1 · shares: The reporting person received a grant of fully vested shares of common stock of Baxter International Inc., subject to the terms and conditions of the applicable grant.

SEC source: 0001174532-21-000001 · edgar.xml · nonDerivative · entry 1

Oesterle Stephen N. · CIK 0001174532 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,495

F1 · shares: The reporting person received a grant of fully vested shares of common stock of Baxter International Inc., subject to the terms and conditions of the applicable grant.

SEC source: 0001204081-21-000001 · edgar.xml · nonDerivative · entry 1

MORRISON PATRICIA · CIK 0001204081 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,370

F1 · shares: The reporting person received a grant of fully vested shares of common stock of Baxter International Inc., subject to the terms and conditions of the applicable grant.

SEC source: 0001533022-21-000001 · edgar.xml · derivative · entry 3

Mahoney Michael F · CIK 0001533022 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,685

Underlying: Common Stock, $1 par value · 5,685 shares

Expires 2031-05-04

F2 · derivative.exercise_date: The reporting person received a grant of fully vested Company stock options, subject to the terms and conditions of the applicable grant.

SEC source: 0001533022-21-000001 · edgar.xml · nonDerivative · entry 1

Mahoney Michael F · CIK 0001533022 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,267

F1 · shares: The reporting person received a grant of fully vested shares of common stock of Baxter International Inc. ("Company"), subject to the terms and conditions of the applicable grant.

SEC source: 0001107468-21-000003 · edgar.xml · nonDerivative · entry 1

HELLMAN PETER S · CIK 0001107468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,629

F1 · shares: The reporting person received a grant of fully vested shares of common stock of Baxter International Inc., subject to the terms and conditions of the applicable grant.

SEC source: 0001360147-21-000001 · edgar.xml · nonDerivative · entry 1

Chen Thomas F · CIK 0001360147 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,857

F1 · shares: The reporting person received a grant of fully vested shares of common stock of Baxter International Inc., subject to the terms and conditions of the applicable grant.

SEC source: 0001712314-21-000004 · edgar.xml · nonDerivative · entry 1

Frye Andrew · CIK 0001712314 · SVP, President, APAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,041

F1 · kind: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Frye with respect to certain vested restricted stock units previously granted by Baxter International Inc. ("BII") to Mr. Frye.

F2 · price: Price reflects weighted average sales price. Range of prices for transactions are $84.38 through $85.02. Full information regarding the number of shares sold at each separate price will be provided by BII upon request.

SEC source: 0001205438-21-000001 · edgar.xml · derivative · entry 4

STROUCKEN ALBERT P L · CIK 0001205438 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $1 par value · 4,990 shares

Expires 2021-05-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Stroucken with respect to certain vested stock options previously granted by Baxter International Inc.("BII') to Mr. Stroucken.

SEC source: 0001205438-21-000001 · edgar.xml · nonDerivative · entry 2

STROUCKEN ALBERT P L · CIK 0001205438 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,896

F2 · price: Price reflects weighted average sales price. Range of prices for transactions are $84.35 through $84.75. Full information regarding the number of shares sold at each separate price will be provided by BII upon request.

SEC source: 0001205438-21-000001 · edgar.xml · nonDerivative · entry 1

STROUCKEN ALBERT P L · CIK 0001205438 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,886

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Stroucken with respect to certain vested stock options previously granted by Baxter International Inc.("BII') to Mr. Stroucken.

SEC source: 0001107468-21-000002 · edgar.xml · derivative · entry 10

HELLMAN PETER S · CIK 0001107468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $1 par value · 4,990 shares

Expires 2021-05-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · kind: 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.

SEC source: 0001107468-21-000002 · edgar.xml · nonDerivative · entry 2

HELLMAN PETER S · CIK 0001107468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,399

F6 · price: 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.

SEC source: 0001107468-21-000002 · edgar.xml · nonDerivative · entry 1

HELLMAN PETER S · CIK 0001107468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,389

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · kind: 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.

SEC source: 0001557559-21-000004 · edgar.xml · nonDerivative · entry 1

Stevens Brian · CIK 0001557559 · SVP, CAO and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,854

F1 · shares: Represents the number of shares forfeited by the reporting person to cover the withholding of taxes incurred as a result of the delivery of shares on December 22, 2021 from the settlement of vested restricted stock units granted on March 20, 2020.

SEC source: 0001678067-21-000004 · edgar.xml · derivative · entry 1

Accogli Giuseppe · CIK 0001678067 · SVP, Pres, Amer, Global Bus

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,969

Underlying: Common Stock, $1 par value · 121,969 shares

Expires 2031-03-03

F1 · derivative.exercise_date: The options become exercisable in three equal annual installments beginning on March 3, 2022, the first anniversary of the grant date.

SEC source: 0001557559-21-000003 · edgar.xml · derivative · entry 2

Stevens Brian · CIK 0001557559 · SVP, CAO and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,424

Underlying: Common Stock, $1 par value · 17,424 shares

Expires 2031-03-03

F2 · derivative.exercise_date: The options become exercisable in three equal annual installments beginning on March 3, 2022, the first anniversary of the grant date.

SEC source: 0001557559-21-000003 · edgar.xml · nonDerivative · entry 1

Stevens Brian · CIK 0001557559 · SVP, CAO and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,010

F1 · shares: The reporting person received a grant of 1,750 restricted stock units which are scheduled to vest in three equal annual installments beginning on March 3, 2022, the first anniversary of the grant date, subject to satisfaction of the related vesting requirements set forth in the Baxter International Inc. 2015 Incentive Plan.

SEC source: 0001362109-21-000002 · edgar.xml · derivative · entry 1

Mason Jeanne K · CIK 0001362109 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,788

Underlying: Common Stock, $1 par value · 48,788 shares

Expires 2031-03-03

F1 · derivative.exercise_date: The options become exercisable in three equal annual installments beginning on March 3, 2022, the first anniversary of the grant date.

SEC source: 0001593636-21-000002 · edgar.xml · derivative · entry 1

SACCARO JAMES · CIK 0001593636 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,369

Underlying: Common Stock, $1 par value · 82,369 shares

Expires 2031-03-03

F1 · derivative.exercise_date: The options become exercisable in three equal annual installments beginning on March 3, 2022, the first anniversary of the grant date.

SEC source: 0001500332-21-000002 · edgar.xml · derivative · entry 1

Martin Sean · CIK 0001500332 · SVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,360

Underlying: Common Stock, $1 par value · 63,360 shares

Expires 2031-03-03

F1 · derivative.exercise_date: The options become exercisable in three equal annual installments beginning on March 3, 2022, the first anniversary of the grant date.

SEC source: 0001779771-21-000003 · edgar.xml · derivative · entry 1

Kunzler Jacqueline · CIK 0001779771 · SVP, Chief Quality Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,680

Underlying: Common Stock, $1 par value · 31,680 shares

Expires 2031-03-03

F1 · derivative.exercise_date: The options become exercisable in three equal annual installments beginning on March 3, 2022, the first anniversary of the grant date.

SEC source: 0001712314-21-000002 · edgar.xml · derivative · entry 1

Frye Andrew · CIK 0001712314 · SVP, President, APAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,201

Underlying: Common Stock, $1 par value · 79,201 shares

Expires 2031-03-03

F1 · derivative.exercise_date: The options become exercisable in three equal annual installments beginning on March 3, 2022, the first anniversary of the grant date.

SEC source: 0001715790-21-000002 · edgar.xml · derivative · entry 1

Franzi Cristiano · CIK 0001715790 · SVP, President, EMEA

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,201

Underlying: Common Stock, $1 par value · 79,201 shares

Expires 2031-03-03

F1 · derivative.exercise_date: The options become exercisable in three equal annual installments beginning on March 3, 2022, the first anniversary of the grant date.

SEC source: 0001495559-21-000001 · edgar.xml · derivative · entry 1

Borzi James W · CIK 0001495559 · SVP, Global Supply Chain

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,352

Underlying: Common Stock, $1 par value · 44,352 shares

Expires 2031-03-03

F1 · derivative.exercise_date: The options become exercisable in three equal annual installments beginning on March 3, 2022, the first anniversary of the grant date.

SEC source: 0001216761-21-000002 · edgar.xml · derivative · entry 1

ALMEIDA JOSE E · CIK 0001216761 · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 348,483

Underlying: Common Stock, $1 par value · 348,483 shares

Expires 2031-03-03

F1 · derivative.exercise_date: The options become exercisable in three equal annual installments beginning on March 3, 2022, the first anniversary of the grant date.

SEC source: 0001557559-21-000002 · edgar.xml · nonDerivative · entry 1

Stevens Brian · CIK 0001557559 · SVP, CAO and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,260

F1 · shares: Represents the number of shares forfeited by the reporting person to cover the withholding of taxes incurred as a result of the delivery of shares on March 1, 2021 from the settlement of vested restricted stock units granted on February 28, 2019.

SEC source: 0001842866-21-000002 · edgar.xml · nonDerivative · entry 1

Wilkes David S. · CIK 0001842866 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 366

F1 · shares: The reporting person received a grant of 366 fully vested shares of common stock of Baxter International Inc. subject to the terms and conditions of the applicable grant.

F1 · price: The reporting person received a grant of 366 fully vested shares of common stock of Baxter International Inc. subject to the terms and conditions of the applicable grant.

SEC source: 0001678067-21-000002 · edgar.xml · nonDerivative · entry 4

Accogli Giuseppe · CIK 0001678067 · SVP, Pres, Amer and Glbl Bus

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,140

F4 · shares: 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).

SEC source: 0001678067-21-000002 · edgar.xml · nonDerivative · entry 3

Accogli Giuseppe · CIK 0001678067 · SVP, Pres, Amer and Glbl Bus

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,142

F3 · shares: Represents the number of shares forfeited by the reporting person to cover the withholding of taxes incurred as a result of the vesting of shares earned in 2018, 2019, and 2020 as part of the 2018 PSUs.

SEC source: 0001678067-21-000002 · edgar.xml · nonDerivative · entry 2

Accogli Giuseppe · CIK 0001678067 · SVP, Pres, Amer and Glbl Bus

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,315

F2 · shares: 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.

SEC source: 0001678067-21-000002 · edgar.xml · nonDerivative · entry 1

Accogli Giuseppe · CIK 0001678067 · SVP, Pres, Amer and Glbl Bus

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,283

F1 · shares: 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.

SEC source: 0001557559-21-000001 · edgar.xml · nonDerivative · entry 1

Stevens Brian · CIK 0001557559 · SVP, CAO and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,461

F1 · shares: 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).

SEC source: 0001593636-21-000001 · edgar.xml · nonDerivative · entry 4

SACCARO JAMES · CIK 0001593636 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,458

F4 · shares: 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).

SEC source: 0001593636-21-000001 · edgar.xml · nonDerivative · entry 3

SACCARO JAMES · CIK 0001593636 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,279

F3 · shares: Represents the number of shares forfeited by the reporting person to cover the withholding of taxes incurred as a result of the vesting of shares earned in 2018, 2019, and 2020 as part of the 2018 PSUs.

SEC source: 0001593636-21-000001 · edgar.xml · nonDerivative · entry 2

SACCARO JAMES · CIK 0001593636 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,587

F2 · shares: 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.

SEC source: 0001593636-21-000001 · edgar.xml · nonDerivative · entry 1

SACCARO JAMES · CIK 0001593636 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,346

F1 · shares: 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.

SEC source: 0001362109-21-000001 · edgar.xml · nonDerivative · entry 4

Mason Jeanne K · CIK 0001362109 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,145

F4 · shares: 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).

SEC source: 0001362109-21-000001 · edgar.xml · nonDerivative · entry 3

Mason Jeanne K · CIK 0001362109 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,542

F3 · shares: Represents the number of shares forfeited by the reporting person to cover the withholding of taxes incurred as a result of the vesting of shares earned in 2018, 2019, and 2020 as part of the 2018 PSUs.

SEC source: 0001362109-21-000001 · edgar.xml · nonDerivative · entry 2

Mason Jeanne K · CIK 0001362109 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,546

F2 · shares: 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.

SEC source: 0001362109-21-000001 · edgar.xml · nonDerivative · entry 1

Mason Jeanne K · CIK 0001362109 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,027

F1 · shares: 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.

SEC source: 0001500332-21-000001 · edgar.xml · nonDerivative · entry 4

Martin Sean · CIK 0001500332 · SVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,990

F4 · shares: 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).

SEC source: 0001500332-21-000001 · edgar.xml · nonDerivative · entry 3

Martin Sean · CIK 0001500332 · SVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,264

F3 · shares: Represents the number of shares forfeited by the reporting person to cover the withholding of taxes incurred as a result of the vesting of shares earned in 2018, 2019, and 2020 as part of the 2018 PSUs.

SEC source: 0001500332-21-000001 · edgar.xml · nonDerivative · entry 2

Martin Sean · CIK 0001500332 · SVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,816

F2 · shares: 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.