SEC Form 4 · accession 0001127602-16-046249
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
Mar 10, 2016
Accepted (ET)
Mar 14, 2016 · 4:47 pm EDT
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 | Mar 10, 2016 | M | 17,850 | $124.28 | A | 65,136 | D | |
| Common Stock | Mar 10, 2016 | M | 8,075 | $131.07 | A | 73,211 | D | |
| Common StockF1 | Mar 10, 2016 | S | 9,525 | $139.56 | D | 63,686 | D | |
| Common StockF2 | Mar 10, 2016 | S | 16,400 | $138.75 | D | 47,286 | 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)F3 | $124.28 | Mar 10, 2016 | M | 17,850 | D | — | Feb 26, 2021 | Common Stock | 17,850 | 17,850 | D |
| Stock Option (Right to Buy)F4 | $131.07 | Mar 10, 2016 | M | 8,075 | D | — | Feb 25, 2022 | Common Stock | 8,075 | 24,225 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $139.10 to $140.04, 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 (1) and (2) to this Form 4.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $138.18 to $139.09, inclusive.
- F3The option vests in four equal annual installments beginning on February 26, 2015.
- F4The option vests in four equal annual installments beginning on February 25, 2016.