SD 1 bax2021_formsd.htm SD Document

Specialized Disclosure Report

(Exact name of the registrant as specified in its charter)


(State of other jurisdiction of incorporation or organization)(Commission
File Number)
(IRS Employer
Identification No.)

One Baxter Parkway, Deerfield, Illinois60015
(Address of principal executive offices)(Zip Code)

Matthew M. Rice    224.948.6621
(Name and telephone number, including area code, of the
person to contact in connection with this report.)

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2020.

Item 1.01 Conflict Minerals Disclosure and Report

In 2012, the Securities and Exchange Commission (SEC) issued the final rule for implementing Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The rule requires public companies to disclose their use of conflict minerals within manufactured products. The term “conflict minerals” refers to cassiterite, columbite-tantalite, gold, wolframite and their derivatives, which are currently limited to tin, tantalum and tungsten. We identified tin, tantalum, tungsten and gold (collectively 3TG) that are necessary to the functionality or production of products that we manufactured or contracted to manufacture during the period from January 1, 2020 to December 31, 2020 (the Reporting Period). Therefore, we performed a good faith reasonable country of origin inquiry to determine whether any of the 3TG we utilized during the Reporting Period originated in the Democratic Republic of the Congo (DRC) or an adjoining country (collectively, the Covered Countries) and were not from recycled or scrap sources. Based on our reasonable country of origin inquiry, we determined that we may have some suppliers that sourced 3TG from the DRC Region and proceeded to conduct due diligence on our supplier base. Accordingly, the Conflict Minerals Report (CMR) for the year ended December 31, 2020 for Baxter International Inc. (Baxter or the Company) is included in this Form SD as Exhibit 1.01 under Item 2.01 and is also publicly available on Baxter’s website at

The inclusion of our website within this filing is not intended to incorporate by reference any materials other than the Form SD, Conflict Minerals Report and Conflict Minerals Policy included therein.

Item 1.02 Exhibit

See Item 2.01.

Item 2.01 Exhibits    


Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.

By: /s/ James K. Saccaro
James K. Saccaro
Executive Vice President and Chief Financial Officer

Date: June 1, 2021