SEC Form 4 · accession 0001127602-15-004859
THERMO FISHER SCIENTIFIC INC. · TMO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan J Malus
Officer — Executive Vice President
Period of report
Feb 5, 2015
Accepted (ET)
Feb 6, 2015 · 4:40 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000097745
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 5, 2015 | M | 50,000 | $58.40 | A | 133,222 | D | |
| Common StockF2 | Feb 5, 2015 | S | 27,088 | $126.99 | D | 106,134 | D | |
| Common StockF3 | Feb 5, 2015 | S | 22,912 | $126.64 | D | 83,222 | D | |
| Common Stock | holding | — | — | — | 14,256 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F4 | $58.40 | Feb 5, 2015 | M | 50,000 | D | — | Jul 10, 2015 | Common Stock | 50,000 | 0 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 18, 2014.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $126.86 to $127.40, inclusive. The reporting person undertakes to provide to Thermo Fisher Scientific Inc. ("TMO"), any security holder of TMO or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) and (3) to this Form 4.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $126.22 to $126.85, inclusive.
- F4The option vested in five equal installments on July 10, 2009, 2010, 2011, 2012 and 2013.