Nominees

If you are a broker or other nominee that purchased or otherwise acquired Baxter International common stock during the period from May 6, 2015 through October 23, 2019, inclusive (the “Relevant Period”), for the beneficial interest of a person or entity other than yourself, within fourteen (14) calendar days of your receipt of the enclosed notice packet, you must either:

  1. Notify and send the Plan Notice to the respective beneficial owners, and, as requested, provide to the beneficial owners a Claims Packet, so that the beneficial owners may timely file a claim. The burden will be on the Nominees or Custodians to ensure the claims process information, including, if requested, the Claims Packet and other relevant materials, is properly disseminated to the beneficial owners; or
  2. Provide to the Fund Administrator a list of last known names and addresses for all beneficial owners for whom/which they purchased and/or acquired the Baxter International common stock during the Relevant Period as the record holder, so that the Fund Administrator can communicate with the beneficial owners directly.

If you are providing a list of names, addresses, and email addresses to the Fund Administrator:

  1. Compile a list of names and last known addresses of the beneficial owners described above.
  2. Prepare the list in Microsoft Excel format. A preformatted spreadsheet can be found by clicking here.
  3. If the list of names and last known addresses of beneficial owners is being provided via email, then the list must be encrypted before sending the file to the Fund Administrator. The password used to encrypt the file must be provided to the Fund Administrator in a separate email.
  4. Then do one of the following:

    1. Burn the Microsoft Excel file(s) to a CD or DVD and mail the CD or DVD to:

      Baxter Fair Fund
      Fund Administrator
      P.O. Box 6700
      Portland, OR 97228-6700

      or

    2. Email the spreadsheet to info@BaxterFairFundDistribution.com; or
    3. Upload the spreadsheet here;

If you are going to forward the Notice Packet to the beneficial owners:

Request the needed number of copies of the Notice Packet via email to info@BaxterFairFundDistribution.com. You must mail the Notice Packets to the beneficial owners within seven (7) calendar days of your receipt of the Notice Packets. Failure to timely forward the Notice to beneficial owners may affect their legal rights.

Expense Reimbursement:

Reasonable expenses are eligible for reimbursement (including postage and costs to compile names and addresses), provided an invoice documenting the expenses is timely submitted to the Fund Administrator. Please submit your invoice within one month of completing the mailing or providing your file.

If you are mailing the Claim Packet to beneficial owners:

Request the needed number of copies of the Notice Packet via email to info@BaxterFairFundDistribution.com. You must mail the Notice Packets to the beneficial owners within seven (7) calendar days of your receipt of the Claim Packets.

If you have any questions, contact the Fund Administrator at info@BaxterFairFundDistribution.com or by calling 1-844-787-6813 (toll-free).

If you are filing electronic claims:

Click here to download the Claim Form.

Click here to download a properly formatted spreadsheet for submitting your transactions.

You may upload your master Claim Form and completed spreadsheet online here.


Please Note: If you submitted claims in connection with the related class action In Re Baxter International Inc. Securities Litigation, Case No. 1:19‑cv‑07786 (N.D. III.) (the “Class Action”), then beneficial owners whose claims were eligible in the Class Action are being mailed a copy of the Plan Notice with a Taxpayer Certification Form in accordance with the order for this matter. A new Claim Form for the Baxter Fair Fund does not need to be submitted for claimants with an eligible Class Action claim unless their claim needs to be modified, however you must complete, sign, and return the Taxpayer Certification Form included with the Plan Notice mailed to them. If you wish to modify your claim from the Class Action, you should file a new claim in connection with the Baxter Fair Fund.

Click here to download the Taxpayer Certification Form.

To submit copies of the completed and signed Tax Certification Forms, click here.


All claims, documents submitted in response to a Deficiency Notice, and tax documents must be submitted so that they are postmarked or received by the Fund Administrator by March 8, 2024.