SEC Form 4 · accession 0001127602-16-054819
THERMO FISHER SCIENTIFIC INC. · TMO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas W Loewald
Officer — Senior Vice President
Period of report
Jun 2, 2016
Accepted (ET)
Jun 6, 2016 · 4:39 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 | Jun 2, 2016 | M | 5,000 | $73.24 | A | 49,169 | D | |
| Common Stock | Jun 2, 2016 | M | 10,000 | $73.24 | A | 59,169 | D | |
| Common StockF2 | Jun 2, 2016 | S | 15,000 | $152.84 | D | 44,169 | D |
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 | $73.24 | Jun 2, 2016 | M | 5,000 | D | — | Feb 26, 2020 | Common Stock | 5,000 | 25,700 | D |
| Stock Option (Right to Buy)F3 | $73.24 | Jun 2, 2016 | M | 10,000 | D | — | Feb 26, 2020 | Common Stock | 10,000 | 15,700 | 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 May 2, 2016.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $152.38 to $153.30, 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 range set forth in this footnote.
- F3The option is exercisable in four equal annual installments. The first, second and third installments became exercisable on February 26, 2014, 2015, and 2016, and the last installment becomes exercisable on February 26, 2017.