Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BAXTER INTERNATIONAL INCBAX · Entity 1707 | SVP, Operations | March 29, 2019 | April 02, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BAXTER INTERNATIONAL INC
Report date March 29, 2019 · Filed April 02, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $1 par valueSEC Table I · non-derivative | Direct | 20,076 |
Ending reported balance
After 2019-03-29 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-03-29 · Exercise / conversion · Acquired 9,710 · Balance 29,786 F1: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Pleau with respect to certain vested stock options granted by Baxter International Inc. ("BII") to Mr. Pleau. Row 2 · 2019-03-29 · Sale · Disposed 9,710 · Balance 20,076 F1: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Pleau with respect to certain vested stock options granted by Baxter International Inc. ("BII") to Mr. Pleau. F2: Price reflects weighted average sales price. Range of prices for transactions are $80.00 through $80.05. Full information regarding the number of shares sold at each separate price will be provided by BII upon request. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $50.77 · Expires 2027-03-02 | Direct | 0 |
Reported balance
After 2019-03-29 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-03-29 · Exercise / conversion · Disposed 9,710 · Balance 0 F1: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Pleau with respect to certain vested stock options granted by Baxter International Inc. ("BII") to Mr. Pleau. |
Filing footnotes · ownership attribution and instrument terms
F1: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Pleau with respect to certain vested stock options granted by Baxter International Inc. ("BII") to Mr. Pleau.
F2: Price reflects weighted average sales price. Range of prices for transactions are $80.00 through $80.05. Full information regarding the number of shares sold at each separate price will be provided by BII upon request.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 29, 2019 Filed Apr 2, 2019 20:05 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Exercise / conversionStock Option (Right to Buy) · Derivative | 9,710 | $0.00 Strike: $50.77 | $0.00 |
DisclosureSEC source: 0001678065-19-000003 · edgar.xml · derivative · entry 3 Pleau Scott · CIK 0001678065 · SVP, Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $1 par value · 9,710 shares Expires 2027-03-02 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. Pleau with respect to certain vested stock options granted by Baxter International Inc. ("BII") to Mr. Pleau. Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 20:05 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | SaleCommon Stock, $1 par value | 9,710 | $80.00 | $776,800.00 |
DisclosureSEC source: 0001678065-19-000003 · edgar.xml · nonDerivative · entry 2 Pleau Scott · CIK 0001678065 · SVP, Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,076 F1 · kind: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Pleau with respect to certain vested stock options granted by Baxter International Inc. ("BII") to Mr. Pleau. F2 · price: Price reflects weighted average sales price. Range of prices for transactions are $80.00 through $80.05. Full information regarding the number of shares sold at each separate price will be provided by BII upon request. Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 20:05 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Exercise / conversionCommon Stock, $1 par value | 9,710 | $50.77 | $492,976.70 |
DisclosureSEC source: 0001678065-19-000003 · edgar.xml · nonDerivative · entry 1 Pleau Scott · CIK 0001678065 · SVP, Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,786 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. Pleau with respect to certain vested stock options granted by Baxter International Inc. ("BII") to Mr. Pleau. Read SEC document |
| February 28, 2019 Filed Mar 4, 2019 22:16 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantStock Option (Right to Buy) · Derivative | 34,293 | $0.00 Strike: $74.73 | $0.00 |
DisclosureSEC source: 0001678065-19-000002 · edgar.xml · derivative · entry 1 Pleau Scott · CIK 0001678065 · SVP, Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,293 Underlying: Common Stock, $1 par value · 34,293 shares Expires 2029-02-28 F1 · derivative.exercise_date: The options become exercisable in three equal annual installments beginning on February 28, 2020, the first anniversary of the grant date. Read SEC document |
| February 19, 2019 Filed Feb 21, 2019 21:13 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 1,274 | $0.00 | $0.00 |
DisclosureSEC source: 0001678065-19-000001 · edgar.xml · nonDerivative · entry 2 Pleau Scott · CIK 0001678065 · SVP, Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,076 F2 · shares: Represents shares earned from the performance share unit award granted on March 1, 2018 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, 2018 through December 31, 2018. These shares are scheduled to vest after the end of the relevant three-year performance period (which runs from January 1, 2018 through December 31, 2020). Read SEC document |
| February 19, 2019 Filed Feb 21, 2019 21:13 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 1,532 | $0.00 | $0.00 |
DisclosureSEC source: 0001678065-19-000001 · edgar.xml · nonDerivative · entry 1 Pleau Scott · CIK 0001678065 · SVP, Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,802 F1 · shares: Represents shares earned from the performance share unit award granted on March 2, 2017 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 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 earned based on Baxter's OM, as assessed from January 1, 2018 to December 31, 2018. These shares are scheduled to vest after the end of the relevant three-year performance period (which runs from Janaury 1, 2017 through December 31, 2019). Read SEC document |
| September 04, 2018 Filed Sep 5, 2018 20:36 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Tax withholdingCommon Stock, $1 par value | 3,016 | $74.79 | $225,566.64 |
DisclosureSEC source: 0001678065-18-000005 · edgar.xml · nonDerivative · entry 1 Pleau Scott · CIK 0001678065 · SVP, Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,197 F1 · shares: Represents the number of shares forfeited by the reporting person to cover the payment of taxes incurred as a result of partial vesting of restricted stock granted on September 1, 2016. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 20:56 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Exercise / conversionStock Option (Right to Buy) · Derivative | 4,550 | $0.00 Strike: $50.77 | $0.00 |
DisclosureSEC source: 0001678065-18-000004 · edgar.xml · derivative · entry 5 Pleau Scott · CIK 0001678065 · SVP, Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,710 Underlying: Common Stock, $1 par value · 4,550 shares Expires 2027-03-02 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. Pleau with respect to certain vested stock options granted by Baxter International Inc. to Mr. Pleau. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 20:56 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Exercise / conversionStock Option (Right to Buy) · Derivative | 6,136 | $0.00 Strike: $46.18 | $0.00 |
DisclosureSEC source: 0001678065-18-000004 · edgar.xml · derivative · entry 4 Pleau Scott · CIK 0001678065 · SVP, Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $1 par value · 6,136 shares Expires 2026-09-01 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. Pleau with respect to certain vested stock options granted by Baxter International Inc. to Mr. Pleau. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 20:56 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | SaleCommon Stock, $1 par value | 10,686 | $75.00 | $801,450.00 |
DisclosureSEC source: 0001678065-18-000004 · edgar.xml · nonDerivative · entry 3 Pleau Scott · CIK 0001678065 · SVP, Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,213 F1 · kind: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Pleau with respect to certain vested stock options granted by Baxter International Inc. to Mr. Pleau. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 20:56 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Exercise / conversionCommon Stock, $1 par value | 4,550 | $50.77 | $231,003.50 |
DisclosureSEC source: 0001678065-18-000004 · edgar.xml · nonDerivative · entry 2 Pleau Scott · CIK 0001678065 · SVP, Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,899 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. Pleau with respect to certain vested stock options granted by Baxter International Inc. to Mr. Pleau. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 20:56 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Exercise / conversionCommon Stock, $1 par value | 6,136 | $46.18 | $283,360.48 |
DisclosureSEC source: 0001678065-18-000004 · edgar.xml · nonDerivative · entry 1 Pleau Scott · CIK 0001678065 · SVP, Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,349 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. Pleau with respect to certain vested stock options granted by Baxter International Inc. to Mr. Pleau. Read SEC document |
| June 25, 2018 Filed Jun 27, 2018 21:26 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Exercise / conversionStock Option (Right to Buy) · Derivative | 27,197 | $0.00 Strike: $46.18 | $0.00 |
DisclosureSEC source: 0001678065-18-000003 · edgar.xml · derivative · entry 3 Pleau Scott · CIK 0001678065 · SVP, Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,136 Underlying: Common Stock, $1 par value · 27,197 shares Expires 2026-09-01 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. Pleau with respect to certain vested stock options granted by Baxter International Inc. ("BII") to Mr. Pleau. Read SEC document |
| June 25, 2018 Filed Jun 27, 2018 21:26 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | SaleCommon Stock, $1 par value | 27,197 | $73.57 | $2,000,883.29 |
DisclosureSEC source: 0001678065-18-000003 · edgar.xml · nonDerivative · entry 2 Pleau Scott · CIK 0001678065 · SVP, Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,166 F1 · kind: Transaction effected pursuant to a Rule 10b5-1 trading plan entered into by Mr. Pleau with respect to certain vested stock options granted by Baxter International Inc. ("BII") to Mr. Pleau. F2 · price: Price reflects weighted average sales price. Range of prices for transactions are $73.13 through $74.11. Full information regarding the number of shares sold at each separate price will be provided by BII upon request. Read SEC document |
| June 25, 2018 Filed Jun 27, 2018 21:26 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Exercise / conversionCommon Stock, $1 par value | 27,197 | $46.18 | $1,255,957.46 |
DisclosureSEC source: 0001678065-18-000003 · edgar.xml · nonDerivative · entry 1 Pleau Scott · CIK 0001678065 · SVP, Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,363 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. Pleau with respect to certain vested stock options granted by Baxter International Inc. ("BII") to Mr. Pleau. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 21:19 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantStock Option (Right to Buy) · Derivative | 33,609 | $0.00 Strike: $66.31 | $0.00 |
DisclosureSEC source: 0001678065-18-000002 · edgar.xml · derivative · entry 1 Pleau Scott · CIK 0001678065 · SVP, Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,609 Underlying: Common Stock, $1 par value · 33,609 shares Expires 2028-03-01 F1 · derivative.exercise_date: The option becomes exercisable in three equal annual installments beginning on the first anniversary of the date of the grant. Read SEC document |
| February 19, 2018 Filed Feb 21, 2018 22:29 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 2,004 | $0.00 | $0.00 |
DisclosureSEC source: 0001678065-18-000001 · edgar.xml · nonDerivative · entry 1 Pleau Scott · CIK 0001678065 · SVP, Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,121 F1 · kind: Represents shares earned from the performance share unit award granted on March 2, 2017 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 the 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 earned based on Baxter's OM, as assessed from January 1, 2017 to December 31, 2017. These shares are scheduled to vest after the end of the relevant three-year performance period (which runs from January 1, 2017 through December 31, 2019). Read SEC document |
| September 01, 2017 Filed Sep 6, 2017 21:09 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Tax withholdingCommon Stock, $1 par value | 2,177 | $62.23 | $135,474.71 |
DisclosureSEC source: 0001678065-17-000002 · edgar.xml · nonDerivative · entry 1 Pleau Scott · CIK 0001678065 · SVP, Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,040 F1 · shares: Represents the number of shares forfeited by the reporting person to cover the payment of taxes incurred as a result of partial vesting of restricted stock granted on September 1, 2016. Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 21:30 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantStock Option (Right to Buy) · Derivative | 42,781 | $0.00 Strike: $50.77 | $0.00 |
DisclosureSEC source: 0001678065-17-000001 · edgar.xml · derivative · entry 1 Pleau Scott · CIK 0001678065 · CVP, Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,781 Underlying: Common Stock,$1 par value · 42,781 shares Expires 2027-03-02 F1 · derivative.exercise_date: The option becomes exercisable in three equal annual installments beginning on the first anniversary of the date of the grant. Read SEC document |
| September 01, 2016 Filed Sep 6, 2016 20:20 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $46.18 | $0.00 |
DisclosureSEC source: 0001678065-16-000002 · edgar.xml · derivative · entry 2 Pleau Scott · CIK 0001678065 · CVP - Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock, $1 par value · 100,000 shares Expires 2026-09-01 F2 · derivative.exercise_date: The option becomes exercisable in three equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| September 01, 2016 Filed Sep 6, 2016 20:20 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001678065-16-000002 · edgar.xml · nonDerivative · entry 1 Pleau Scott · CIK 0001678065 · CVP - Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 F1 · shares: The reporting person received a grant of 20,000 restricted stock units which will vest in three equal installments beginning on the first anniversary of the grant date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.