Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BAXTER INTERNATIONAL INCBAX · Entity 1707 | CVP and General Counsel | February 21, 2017 | February 23, 2017 |
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 February 21, 2017 · Filed February 23, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $1 par valueSEC Table I · non-derivative | Direct | 109,789 |
Ending reported balance
After 2017-02-21 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2017-02-21 · Grant · Acquired 5,863 · Balance 100,952 F1: Represents shares awarded from the performance share unit award granted on March 4, 2014 pursuant to the Equity Plan adopted by Baxter International Inc. (Baxter) as of such date (the 2014 PSUs). The award provides that fifty percent of the performance share units are earned based on Baxter's Return on Invested Capital (ROIC) performance, as assessed annually over a three-year period. One-third of the ROIC 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 ROIC during the January 1, 2016 to December 31, 2016 performance period. These shares have vested as the relevant three-year performance period January 1, 2014 to December 31, 2016 (the Three-Year Performance Period) has ended. Row 2 · 2017-02-21 · Grant · Acquired 11,337 · Balance 112,289 F2: Represents shares awarded from the 2014 PSUs. The award provides that fifty percent of the performance share units are earned based on Baxter's Growth in Shareholder Value (GSV) performance over the Three-Year Performance Period. The number of shares reported on this Form 4 represents the shares awarded based on Baxter's GSV during the Three-Year Performance Period. These shares have vested as the Three-Year Performance Period has ended. Row 3 · 2017-02-21 · Tax withholding · Disposed 10,202 · Balance 102,087 F3: 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 2014, 2015 and 2016 as part of the 2014 PSUs. Row 4 · 2017-02-21 · Grant · Acquired 7,702 · Balance 109,789 F4: Represents shares earned from the performance share unit award granted on March 3, 2016 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, 2016 to December 31, 2016. These shares are scheduled to vest after the end of the relevant three-year performance period (which runs from January 1, 2016 through December 31, 2018). |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares awarded from the performance share unit award granted on March 4, 2014 pursuant to the Equity Plan adopted by Baxter International Inc. (Baxter) as of such date (the 2014 PSUs). The award provides that fifty percent of the performance share units are earned based on Baxter's Return on Invested Capital (ROIC) performance, as assessed annually over a three-year period. One-third of the ROIC 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 ROIC during the January 1, 2016 to December 31, 2016 performance period. These shares have vested as the relevant three-year performance period January 1, 2014 to December 31, 2016 (the Three-Year Performance Period) has ended.
F2: Represents shares awarded from the 2014 PSUs. The award provides that fifty percent of the performance share units are earned based on Baxter's Growth in Shareholder Value (GSV) performance over the Three-Year Performance Period. The number of shares reported on this Form 4 represents the shares awarded based on Baxter's GSV during the Three-Year Performance Period. These shares have vested as the Three-Year Performance Period has ended.
F3: 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 2014, 2015 and 2016 as part of the 2014 PSUs.
F4: Represents shares earned from the performance share unit award granted on March 3, 2016 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, 2016 to December 31, 2016. These shares are scheduled to vest after the end of the relevant three-year performance period (which runs from January 1, 2016 through December 31, 2018).
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 |
|---|---|---|---|---|---|---|
| February 21, 2017 Filed Feb 23, 2017 21:21 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 7,702 | $0.00 | $0.00 |
DisclosureSEC source: 0001471608-17-000001 · edgar.xml · nonDerivative · entry 4 Scharf David P. · CIK 0001471608 · CVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,789 F4 · kind: Represents shares earned from the performance share unit award granted on March 3, 2016 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, 2016 to December 31, 2016. These shares are scheduled to vest after the end of the relevant three-year performance period (which runs from January 1, 2016 through December 31, 2018). Read SEC document |
| February 21, 2017 Filed Feb 23, 2017 21:21 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Tax withholdingCommon Stock, $1 par value | 10,202 | $49.96 | $509,691.92 |
DisclosureSEC source: 0001471608-17-000001 · edgar.xml · nonDerivative · entry 3 Scharf David P. · CIK 0001471608 · CVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,087 F3 · kind: 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 2014, 2015 and 2016 as part of the 2014 PSUs. Read SEC document |
| February 21, 2017 Filed Feb 23, 2017 21:21 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 11,337 | $0.00 | $0.00 |
DisclosureSEC source: 0001471608-17-000001 · edgar.xml · nonDerivative · entry 2 Scharf David P. · CIK 0001471608 · CVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,289 F2 · kind: Represents shares awarded from the 2014 PSUs. The award provides that fifty percent of the performance share units are earned based on Baxter's Growth in Shareholder Value (GSV) performance over the Three-Year Performance Period. The number of shares reported on this Form 4 represents the shares awarded based on Baxter's GSV during the Three-Year Performance Period. These shares have vested as the Three-Year Performance Period has ended. Read SEC document |
| February 21, 2017 Filed Feb 23, 2017 21:21 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 5,863 | $0.00 | $0.00 |
DisclosureSEC source: 0001471608-17-000001 · edgar.xml · nonDerivative · entry 1 Scharf David P. · CIK 0001471608 · CVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,952 F1 · kind: Represents shares awarded from the performance share unit award granted on March 4, 2014 pursuant to the Equity Plan adopted by Baxter International Inc. (Baxter) as of such date (the 2014 PSUs). The award provides that fifty percent of the performance share units are earned based on Baxter's Return on Invested Capital (ROIC) performance, as assessed annually over a three-year period. One-third of the ROIC 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 ROIC during the January 1, 2016 to December 31, 2016 performance period. These shares have vested as the relevant three-year performance period January 1, 2014 to December 31, 2016 (the Three-Year Performance Period) has ended. 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.