Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BAXTER INTERNATIONAL INCBAX · Entity 1707 | SVP, CAO & Controller | March 06, 2024 | March 08, 2024 |
| Groupon, Inc.GRPN · Entity 5174 | CAO & Treasurer | September 15, 2018 | September 18, 2018 |
| Mondelez International, Inc.MDLZ · Entity 2953 | SVP, CTR & Chief Accoun Off | April 30, 2026 | May 04, 2026 |
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 06, 2024 · Filed March 08, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $1 par valueSEC Table I · non-derivative | Direct | 67,538 |
Reported balance
After 2024-03-06 transaction · row 1
1 source rowRow 1 · 2024-03-06 · Grant · Acquired 14,289 · Balance 67,538 F1: For 2024, the annual equity grant for the reporting person consisted solely of restricted stock units (RSUs). The reporting person received a grant of RSUs which are scheduled to vest in three equal annual installments beginning on March 6, 2025, the first anniversary of the grant date, subject to satisfaction of the related vesting requirements set forth in the Baxter International Inc. 2021 Incentive Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: For 2024, the annual equity grant for the reporting person consisted solely of restricted stock units (RSUs). The reporting person received a grant of RSUs which are scheduled to vest in three equal annual installments beginning on March 6, 2025, the first anniversary of the grant date, subject to satisfaction of the related vesting requirements set forth in the Baxter International Inc. 2021 Incentive Plan.
Groupon, Inc.
Report date September 15, 2018 · Filed September 18, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 250,139 |
Ending reported balance
After 2018-09-15 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2018-09-15 · Exercise / conversion · Acquired 25,261 · Balance 260,825 Row 2 · 2018-09-15 · Tax withholding · Disposed 10,686 · Balance 250,139 F1: Shares withheld by the issuer to satisfy the mandatory tax withholding requirement upon vesting of restricted stock units. This is not an open market sale of securities. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 50,521 |
Reported balance
After 2018-09-15 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-09-15 · Exercise / conversion · Disposed 25,261 · Balance 50,521 F2: Each restricted stock unit represents a contingent right to receive one share of Common Stock. F3: 8,092 of the restricted stock units reported on this line vested on September 15, 2017; 4,046 of the restricted stock units reported on this line vested on each of December 15, 2017 and March 15, 2018; and 101,043 of the restricted stock units reported on this line will vest in equal installments quarterly beginning on June 15, 2018 and ending on March 15, 2019; in each case subject to Mr. Stevens' continued employment with the Company through each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares withheld by the issuer to satisfy the mandatory tax withholding requirement upon vesting of restricted stock units. This is not an open market sale of securities.
F2: Each restricted stock unit represents a contingent right to receive one share of Common Stock.
F3: 8,092 of the restricted stock units reported on this line vested on September 15, 2017; 4,046 of the restricted stock units reported on this line vested on each of December 15, 2017 and March 15, 2018; and 101,043 of the restricted stock units reported on this line will vest in equal installments quarterly beginning on June 15, 2018 and ending on March 15, 2019; in each case subject to Mr. Stevens' continued employment with the Company through each vesting date.
Mondelez International, Inc.
Report date April 30, 2026 · Filed May 04, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectBy Trust | 0 |
Last balance in matching sequence
After 2026-05-01 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2026-04-30 · Sale · Disposed 63 · Balance 21 F1: Mr. Stevens became Sole Trustee upon death of Co-Trustee. Row 2 · 2026-04-30 · Gift · Disposed 20 · Balance 1 F2: Transfer of shares from Trust pursuant to Rule 16a-13. No funds were exchanged and no sale of shares occurred in the transfer of these shares. F1: Mr. Stevens became Sole Trustee upon death of Co-Trustee. Row 4 · 2026-05-01 · Sale · Disposed 1 · Balance 0 F1: Mr. Stevens became Sole Trustee upon death of Co-Trustee. |
| Class A Common StockSEC Table I · non-derivative | Direct | 2,041 |
Reported balance
After 2026-04-30 transaction · row 3
1 source rowRow 3 · 2026-04-30 · Gift · Acquired 20 · Balance 2,041 F2: Transfer of shares from Trust pursuant to Rule 16a-13. No funds were exchanged and no sale of shares occurred in the transfer of these shares. |
Filing footnotes · ownership attribution and instrument terms
F1: Mr. Stevens became Sole Trustee upon death of Co-Trustee.
F2: Transfer of shares from Trust pursuant to Rule 16a-13. No funds were exchanged and no sale of shares occurred in the transfer of these shares.
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 |
|---|---|---|---|---|---|---|
| May 01, 2026 Filed May 4, 2026 20:56 UTC | Mondelez International, Inc. MDLZ · Entity 2953 | SaleClass A Common Stock | 1 | $61.55 | $61.55 |
DisclosureSEC source: 0001628280-26-029905 · wk-form4_1777928157.xml · nonDerivative · entry 4 Stevens Brian · CIK 0001557559 · SVP, CTR & Chief Accoun Off 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 0 F1 · ownership.nature: Mr. Stevens became Sole Trustee upon death of Co-Trustee. Read SEC document |
| April 30, 2026 Filed May 4, 2026 20:56 UTC | Mondelez International, Inc. MDLZ · Entity 2953 | GiftClass A Common Stock | 20 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-029905 · wk-form4_1777928157.xml · nonDerivative · entry 3 Stevens Brian · CIK 0001557559 · SVP, CTR & Chief Accoun Off 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,041 F2 · shares: Transfer of shares from Trust pursuant to Rule 16a-13. No funds were exchanged and no sale of shares occurred in the transfer of these shares. Read SEC document |
| April 30, 2026 Filed May 4, 2026 20:56 UTC | Mondelez International, Inc. MDLZ · Entity 2953 | GiftClass A Common Stock | 20 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-029905 · wk-form4_1777928157.xml · nonDerivative · entry 2 Stevens Brian · CIK 0001557559 · SVP, CTR & Chief Accoun Off 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 1 F2 · shares: Transfer of shares from Trust pursuant to Rule 16a-13. No funds were exchanged and no sale of shares occurred in the transfer of these shares. F1 · ownership.nature: Mr. Stevens became Sole Trustee upon death of Co-Trustee. Read SEC document |
| April 30, 2026 Filed May 4, 2026 20:56 UTC | Mondelez International, Inc. MDLZ · Entity 2953 | SaleClass A Common Stock | 63 | $61.46 | $3,871.98 |
DisclosureSEC source: 0001628280-26-029905 · wk-form4_1777928157.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CTR & Chief Accoun Off 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 21 F1 · ownership.nature: Mr. Stevens became Sole Trustee upon death of Co-Trustee. Read SEC document |
| February 11, 2026 Filed Feb 13, 2026 21:08 UTC | Mondelez International, Inc. MDLZ · Entity 2953 | GrantStock Options (right to buy) · Derivative | 11,820 | $0.00 Strike: $61.47 | $0.00 |
DisclosureSEC source: 0001628280-26-008106 · wk-form4_1771016918.xml · derivative · entry 2 Stevens Brian · CIK 0001557559 · SVP, CTR & Chief Accoun Off 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,820 Underlying: Class A Common Stock · 11,820 shares Expires 2036-02-11 F2 · derivative.exercise_date: Options vest in three annual installments as follows: 33% on February 11, 2027; 33% on February 11, 2028, and 34% on February 11, 2029. Read SEC document |
| February 11, 2026 Filed Feb 13, 2026 21:08 UTC | Mondelez International, Inc. MDLZ · Entity 2953 | GrantClass A Common Stock | 1,970 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-008106 · wk-form4_1771016918.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CTR & Chief Accoun Off 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,021 F1 · shares: Deferred stock units granted under the Issuer's 2024 Performance Incentive Plan. Deferred stock units vest in three annual installments as follows: 33% on February 11, 2027; 33% on February 11, 2028, and 34% on February 11, 2029. Read SEC document |
| March 17, 2025 Filed Mar 19, 2025 20:13 UTC | Mondelez International, Inc. MDLZ · Entity 2953 | GrantStock Options (right to buy) · Derivative | 10,930 | $0.00 Strike: $65.09 | $0.00 |
DisclosureSEC source: 0001103982-25-000087 · wk-form4_1742415213.xml · derivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CTR & Chief Accoun Off 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,930 Underlying: Class A Common Stock · 10,930 shares Expires 2035-03-17 F1 · derivative.exercise_date: Options vest in three annual installments as follows: 33% on March 17, 2026; 33% on March 17, 2027 and 34% on March 17, 2028. Read SEC document |
| March 06, 2024 Filed Mar 8, 2024 21:11 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 14,289 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-005967 · form4.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CAO & Controller 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,538 F1 · shares: For 2024, the annual equity grant for the reporting person consisted solely of restricted stock units (RSUs). The reporting person received a grant of RSUs which are scheduled to vest in three equal annual installments beginning on March 6, 2025, the first anniversary of the grant date, subject to satisfaction of the related vesting requirements set forth in the Baxter International Inc. 2021 Incentive Plan. Read SEC document |
| March 04, 2024 Filed Mar 6, 2024 21:05 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Tax withholdingCommon Stock, $1 par value | 545 | $42.50 | $23,162.50 |
DisclosureSEC source: 0001062993-24-005680 · form4.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CAO & Controller 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 53,249 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 4, 2024 from the settlement of vested restricted stock units granted on March 2, 2022 and March 3, 2021. Read SEC document |
| March 01, 2024 Filed Mar 5, 2024 21:17 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Tax withholdingCommon Stock, $1 par value | 673 | $41.01 | $27,599.73 |
DisclosureSEC source: 0001062993-24-005496 · form4.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CAO & Controller 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 53,795 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, 2024 from the settlement of vested restricted stock units granted on March 1, 2023. Read SEC document |
| February 12, 2024 Filed Feb 14, 2024 21:35 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Tax withholdingCommon Stock, $1 par value | 284 | $40.31 | $11,448.04 |
DisclosureSEC source: 0001062993-24-003176 · form4.xml · nonDerivative · entry 2 Stevens Brian · CIK 0001557559 · SVP, CAO & Controller 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 54,469 F2 · 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 the 2021 PSUs. F3 · balance_after: Total includes the automatic reinvestment of dividends. Read SEC document |
| February 12, 2024 Filed Feb 14, 2024 21:35 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 821 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-003176 · form4.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CAO & Controller 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 54,753 F1 · shares: Represents shares awarded from the performance share unit award granted on March 3, 2021 pursuant to the Equity Plan adopted by Baxter International Inc. (Baxter) as of such date (the 2021 PSUs). The award provided that one-third of the performance share units are awarded based on Baxter's Sales Compound Annual Growth Rate (Sales CAGR) performance, Baxter's Total Shareholder Return (TSR) performance, and Baxter's Total Return on Invested Capital (ROIC) performance over the three-year performance period January 1, 2021 to December 31, 2023 (the Three-Year Performance Period). These shares have vested as the Three-Year Performance Period has ended. Read SEC document |
| December 01, 2023 Filed Dec 5, 2023 21:11 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 13,994 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-021912 · form4.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CAO & Controller 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 53,532 F1 · shares: In connection with Mr. Steven's appointment as Interim CFO and commensurate with related additional duties, he received a one-time special grant award of restricted stock units which are scheduled to vest on the third anniversary of the grant date, subject to satisfaction of the related vesting requirements set forth in the Baxter International Inc. 2021 Incentive Plan. F2 · balance_after: Total includes the automatic reinvestment of dividends. Read SEC document |
| June 01, 2023 Filed Jun 5, 2023 20:04 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 5,909 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-012913 · form4.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP,Interim CFO,CAO&Cntrl 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,982 F1 · shares: In connection with Mr. Steven's appointment to Interim CFO and commensurate with related additional duties, he received a one-time special grant award of restricted stock units which are scheduled to vest on the second anniversary of the grant date, subject to satisfaction of the related vesting requirements set forth in the Baxter International Inc. 2021 Incentive Plan. Read SEC document |
| March 20, 2023 Filed Mar 22, 2023 20:04 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Tax withholdingCommon Stock, $1 par value | 161 | $38.19 | $6,148.59 |
DisclosureSEC source: 0001062993-23-007482 · form4.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP. CAO and Controller 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 32,896 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 20, 2023 from the settlement of vested restricted stock units granted on March 20, 2020. Read SEC document |
| March 03, 2023 Filed Mar 7, 2023 21:13 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Tax withholdingCommon Stock, $1 par value | 184 | $39.94 | $7,348.96 |
DisclosureSEC source: 0001062993-23-006173 · form4.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,058 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 3, 2023 from the settlement of vested restricted stock units granted on March 3, 2021. Read SEC document |
| March 02, 2023 Filed Mar 6, 2023 21:13 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Tax withholdingCommon Stock, $1 par value | 418 | $39.62 | $16,561.16 |
DisclosureSEC source: 0001062993-23-006070 · form4.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,242 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 2, 2023 from the settlement of vested restricted stock units granted on March 2, 2022. Read SEC document |
| March 01, 2023 Filed Mar 3, 2023 21:09 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantStock Option (Right to Buy) · Derivative | 14,072 | $0.00 Strike: $39.06 | $0.00 |
DisclosureSEC source: 0001062993-23-005858 · form4.xml · derivative · entry 2 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,072 Underlying: Common Stock, $1 par value · 14,072 shares Expires 2033-03-01 F2 · derivative.exercise_date: The options become exercisable in three equal annual installments beginning on March 1, 2024, the first anniversary of the grant date. Read SEC document |
| March 01, 2023 Filed Mar 3, 2023 21:09 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 6,788 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-005858 · form4.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,660 F1 · shares: The reporting person received a grant of restricted stock units which are scheduled to vest in three equal annual installments beginning on March 1, 2024, the first anniversary of the grant date, subject to satisfaction of the related vesting requirements set forth in the Baxter International Inc. 2021 Incentive Plan. Read SEC document |
| February 13, 2023 Filed Feb 15, 2023 22:14 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Tax withholdingCommon Stock, $1 par value | 224 | $40.50 | $9,072.00 |
DisclosureSEC source: 0001062993-23-003687 · form4.xml · nonDerivative · entry 2 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,872 F2 · 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 the 2020 PSUs. Read SEC document |
| February 13, 2023 Filed Feb 15, 2023 22:14 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 646 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-003687 · form4.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,096 F1 · shares: Represents shares awarded from the performance share unit award granted on March 20, 2020 pursuant to the Equity Plan adopted by Baxter International Inc. (Baxter) as of such date (the 2020 PSUs). The award provided that one-third of the performance share units are awarded based on Baxter's Sales Compound Annual Growth Rate (Sales CAGR) performance, Baxter's Total Shareholder Return (TSR) performance, and Baxter's Total Return on Invested Capital (ROIC) performance over the three-year performance period January 1, 2020 to December 31, 2022 (the Three-Year Performance Period). These shares have vested as the Three-Year Performance Period has ended. Read SEC document |
| March 21, 2022 Filed Mar 23, 2022 20:18 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Tax withholdingCommon Stock, $1 par value | 157 | $79.05 | $12,410.85 |
DisclosureSEC source: 0001062993-22-008416 · form4.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,993 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 21, 2022 from the settlement of vested restricted stock units granted on March 20, 2020. Read SEC document |
| March 03, 2022 Filed Mar 4, 2022 22:25 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Tax withholdingCommon Stock, $1 par value | 172 | $85.19 | $14,652.68 |
DisclosureSEC source: 0001062993-22-006917 · form4.xml · nonDerivative · entry 4 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,151 F4 · 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 3, 2022 from the settlement of vested restricted stock units granted on March 3, 2021. Read SEC document |
| March 02, 2022 Filed Mar 4, 2022 22:25 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantStock Option (Right to Buy) · Derivative | 8,269 | $0.00 Strike: $85.23 | $0.00 |
DisclosureSEC source: 0001062993-22-006917 · form4.xml · derivative · entry 5 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,269 Underlying: Common Stock, $1 par value · 8,269 shares Expires 2032-03-02 F5 · derivative.exercise_date: The options become exercisable in three equal annual installments beginning on March 2, 2023, the first anniversary of the grant date. Read SEC document |
| March 02, 2022 Filed Mar 4, 2022 22:25 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 8,918 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-006917 · form4.xml · nonDerivative · entry 3 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,324 F3 · shares: The reporting person received a grant of restricted stock units which are scheduled to vest on March 3, 2025, subject to satisfaction of the related vesting requirements set forth in the Baxter International Inc. 2021 Incentive Plan. Read SEC document |
| March 02, 2022 Filed Mar 4, 2022 22:25 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 3,567 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-006917 · form4.xml · nonDerivative · entry 2 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,406 F2 · shares: The reporting person received a grant of restricted stock units which are scheduled to vest in three equal annual installments beginning on March 2, 2023, the first anniversary of the grant date, subject to satisfaction of the related vesting requirements set forth in the Baxter International Inc. 2021 Incentive Plan. Read SEC document |
| February 28, 2022 Filed Mar 1, 2022 21:13 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | SaleCommon Stock, $1 par value | 175 | $86.07 | $15,062.25 |
DisclosureSEC source: 0001062993-22-006087 · form4.xml · nonDerivative · entry 2 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,011 F1 · kind: Transaction effected pursuant to a Rule 10b-1 trading plan entered into by Mr. Stevens on November 2, 2021 with respect to certain vested restricted stock units previously granted by Baxter International Inc. to Mr. Stevens. F3 · price: Price reflects weighted average sales price. Range of prices for transactions are $85.06 through $85.07. Full information regarding the number of shares sold at each separate price will be provided by Baxter International Inc. upon request. Read SEC document |
| February 28, 2022 Filed Mar 1, 2022 21:13 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | SaleCommon Stock, $1 par value | 2,325 | $85.46 | $198,694.50 |
DisclosureSEC source: 0001062993-22-006087 · form4.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,186 F1 · kind: Transaction effected pursuant to a Rule 10b-1 trading plan entered into by Mr. Stevens on November 2, 2021 with respect to certain vested restricted stock units previously granted by Baxter International Inc. to Mr. Stevens. F2 · price: Price reflects weighted average sales price. Range of prices for transactions are $85.00 through $85.95. Full information regarding the number of shares sold at each separate price will be provided by Baxter International Inc. upon request. Read SEC document |
| February 28, 2022 Filed Mar 4, 2022 22:25 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Tax withholdingCommon Stock, $1 par value | 172 | $84.97 | $14,614.84 |
DisclosureSEC source: 0001062993-22-006917 · form4.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,839 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 February 28, 2022 from the settlement of vested restricted stock units granted on February 28, 2019. Read SEC document |
| February 10, 2022 Filed Feb 14, 2022 21:18 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Tax withholdingCommon Stock, $1 par value | 468 | $87.75 | $41,067.00 |
DisclosureSEC source: 0001062993-22-004285 · form4.xml · nonDerivative · entry 3 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,511 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 in 2019, 2020, and 2021 as part of the 2019 PSUs. Read SEC document |
| February 10, 2022 Filed Feb 14, 2022 21:18 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 724 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-004285 · form4.xml · nonDerivative · entry 2 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,979 F2 · shares: Represents shares awarded from the 2019 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. Read SEC document |
| February 10, 2022 Filed Feb 14, 2022 21:18 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 249 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-004285 · form4.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,255 F1 · shares: Represents shares awarded from the performance share unit award granted on February 28, 2019 pursuant to the Equity Plan adopted by Baxter International Inc. (Baxter) as of such date (the 2019 PSUs). The award provided 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, 2021 to December 31, 2021 performance period. These shares have vested as the relevant three-year performance period January 1, 2019 to December 31, 2021 (the Three-Year Performance Period) has ended. Read SEC document |
| December 03, 2021 Filed Dec 7, 2021 22:26 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Tax withholdingCommon Stock, $1 par value | 3,050 | $78.05 | $238,052.50 |
DisclosureSEC source: 0000899243-21-047132 · doc4.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,978 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 3, 2021 from the settlement of vested restricted stock units. Read SEC document |
| March 22, 2021 Filed Mar 24, 2021 20:10 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Tax withholdingCommon Stock, $1 par value | 155 | $81.24 | $12,592.20 |
DisclosureSEC 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. Read SEC document |
| March 03, 2021 Filed Mar 5, 2021 21:15 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantStock Option (Right to Buy) · Derivative | 17,424 | $0.00 Strike: $77.15 | $0.00 |
DisclosureSEC 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. Read SEC document |
| March 03, 2021 Filed Mar 5, 2021 21:15 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 1,750 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 22:51 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Tax withholdingCommon Stock, $1 par value | 201 | $77.94 | $15,665.94 |
DisclosureSEC 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. Read SEC document |
| February 16, 2021 Filed Feb 18, 2021 21:16 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 114 | $0.00 | $0.00 |
DisclosureSEC 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). Read SEC document |
| December 03, 2020 Filed Dec 7, 2020 22:02 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Tax withholdingCommon Stock, $1 par value | 749 | $76.32 | $57,163.68 |
DisclosureSEC source: 0001557559-20-000003 · edgar.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,295 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 3, 2020 from the settlement of vested restricted stock units granted on December 3, 2018. Read SEC document |
| March 20, 2020 Filed Mar 23, 2020 21:35 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantStock Option (Right to Buy) · Derivative | 15,893 | $0.00 Strike: $75.75 | $0.00 |
DisclosureSEC source: 0001557559-20-000002 · edgar.xml · derivative · entry 2 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,893 Underlying: Common Stock, $1 par value · 15,893 shares Expires 2030-03-20 F2 · derivative.exercise_date: The options become exercisable in three equal annual installments beginning on March 22, 2021, the first anniversary of the grant date. Read SEC document |
| March 20, 2020 Filed Mar 23, 2020 21:35 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 1,579 | $0.00 | $0.00 |
DisclosureSEC source: 0001557559-20-000002 · edgar.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,908 F1 · shares: The reporting person received a grant of 1,579 restricted stock units which are scheduled to vest in three equal annual installments beginning on March 22, 2021, the first anniversary of the grant date, subject to satisfaction of the related vesting requirements set forth in the Baxter International Inc. 2011 Incentive Plan. Read SEC document |
| March 18, 2020 Filed Mar 19, 2020 20:50 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Tax withholdingCommon Stock, $1 par value | 169 | $80.51 | $13,606.19 |
DisclosureSEC source: 0001557559-20-000001 · edgar.xml · nonDerivative · entry 2 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,329 F2 · 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 18, 2020 from the settlement of vested restricted stock units granted on February 28, 2019. Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 20:50 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 318 | $0.00 | $0.00 |
DisclosureSEC source: 0001557559-20-000001 · edgar.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,498 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, 2019 to December 31, 2019. 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). Read SEC document |
| December 03, 2019 Filed Dec 5, 2019 21:27 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | Tax withholdingCommon Stock, $1 par value | 740 | $81.01 | $59,947.40 |
DisclosureSEC source: 0001557559-19-000002 · edgar.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,138 F1 · shares: Represents the number of shares forfeited by the reporting person to cover the withholding of taxes incurred as a result of the partial vesting of restricted stock units granted on December 3, 2018. Read SEC document |
| February 28, 2019 Filed Mar 4, 2019 22:25 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantStock Option (Right to Buy) · Derivative | 17,147 | $0.00 Strike: $74.73 | $0.00 |
DisclosureSEC source: 0001557559-19-000001 · edgar.xml · derivative · entry 2 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,147 Underlying: Common Stock, $1 par value · 17,147 shares Expires 2029-02-28 F2 · 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 28, 2019 Filed Mar 4, 2019 22:25 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock,$1 par value | 1,707 | $0.00 | $0.00 |
DisclosureSEC source: 0001557559-19-000001 · edgar.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,707 F1 · shares: The reporting person received a grant of 1,707 restricted stock units which are scheduled to vest in three equal annual installments beginning on February 28, 2020, 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. Read SEC document |
| December 03, 2018 Filed Dec 6, 2018 21:37 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantStock Option (Right to Buy) · Derivative | 70,000 | $0.00 Strike: $69.20 | $0.00 |
DisclosureSEC source: 0001557559-18-000002 · edgar.xml · derivative · entry 3 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Common Stock, $1 par value · 70,000 shares Expires 2028-12-01 F3 · derivative.exercise_date: The options become exercisable in three equal annual installments beginning on December 3, 2019, the first anniversary of the grant date. Read SEC document |
| December 03, 2018 Filed Dec 6, 2018 21:37 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001557559-18-000002 · edgar.xml · nonDerivative · entry 2 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 F2 · shares: The restricted stock units are scheduled to vest in full on December 3, 2021. Read SEC document |
| December 03, 2018 Filed Dec 6, 2018 21:37 UTC | BAXTER INTERNATIONAL INC BAX · Entity 1707 | GrantCommon Stock, $1 par value | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001557559-18-000002 · edgar.xml · nonDerivative · entry 1 Stevens Brian · CIK 0001557559 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 F1 · shares: The restricted stock units are scheduled to vest in three equal annual installments beginning on December 3, 2019, the first anniversary of the grant date. Read SEC document |
| September 15, 2018 Filed Sep 18, 2018 21:38 UTC | Groupon, Inc. GRPN · Entity 5174 | Exercise / conversionRestricted Stock Units · Derivative | 25,261 | $0.00 | $0.00 |
DisclosureSEC source: 0001490281-18-000098 · wf-form4_153730671889775.xml · derivative · entry 3 Stevens Brian · CIK 0001557559 · CAO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,521 Underlying: Common Stock · 25,261 shares Expires not disclosed 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. F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Common Stock. F3 · derivative.exercise_date: 8,092 of the restricted stock units reported on this line vested on September 15, 2017; 4,046 of the restricted stock units reported on this line vested on each of December 15, 2017 and March 15, 2018; and 101,043 of the restricted stock units reported on this line will vest in equal installments quarterly beginning on June 15, 2018 and ending on March 15, 2019; in each case subject to Mr. Stevens' continued employment with the Company through each vesting date. F3 · derivative.expiration_date: 8,092 of the restricted stock units reported on this line vested on September 15, 2017; 4,046 of the restricted stock units reported on this line vested on each of December 15, 2017 and March 15, 2018; and 101,043 of the restricted stock units reported on this line will vest in equal installments quarterly beginning on June 15, 2018 and ending on March 15, 2019; in each case subject to Mr. Stevens' continued employment with the Company through each vesting 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.