SEC Form 4 · accession 0001127602-17-009840
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
Feb 28, 2017
Accepted (ET)
Mar 2, 2017 · 5:42 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 StockF1 | Feb 28, 2017 | A | 39,000 | $0.00 | A | 288,796 | D | |
| Common Stock | Feb 28, 2017 | A | 26,600 | $0.00 | A | 315,396 | D | |
| Common Stock | Feb 28, 2017 | F | 6,117 | $157.68 | D | 309,279 | D | |
| Common Stock | holding | — | — | — | 69,330 | 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)F2 | $157.68 | Feb 28, 2017 | A | 126,400 | A | — | Feb 28, 2024 | Common Stock | 126,400 | 126,400 | D |
Explanation of responses
- F1Shares represent a performance-based restricted stock unit award granted on February 24, 2016. The Company's Compensation Committee determined on February 28, 2017, that the performance criteria related to this award was satisfied. One-third of the shares vested on February 28, 2017, one-third of the shares vest on February 28, 2018, and the remaining one-third vest on February 28, 2019.
- F2The option vests in four equal annual installments beginning on February 28, 2018.