SEC Form 4 · accession 0001127602-16-061822
THERMO FISHER SCIENTIFIC INC. · TMO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marc N Casper
Officer — Chief Executive Officer · Director
Period of report
Sep 1, 2016
Accepted (ET)
Sep 2, 2016 · 5:32 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 | Sep 1, 2016 | M | 30,000 | $54.97 | A | 308,647 | D | |
| Common StockF2 | Sep 1, 2016 | S | 14,614 | $150.70 | D | 294,033 | D | |
| Common StockF3 | Sep 1, 2016 | S | 11,786 | $151.43 | D | 282,247 | D | |
| Common StockF4 | Sep 1, 2016 | S | 3,600 | $152.22 | D | 278,647 | D | |
| Common Stock | holding | — | — | — | 60,830 | I | By Marc N. Casper 2012 Irrevocable Trust |
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)F5 | $54.97 | Sep 1, 2016 | M | 30,000 | D | — | Feb 23, 2018 | Common Stock | 30,000 | 28,797 | 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 March 16, 2016.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $150.56 to $150.99, 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), (3) and (4) 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 $151.00 to $151.96, inclusive.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $152.01 to $152.73, inclusive.
- F5The option vested in four equal installments on February 23, 2012, 2013, 2014 and 2015.