SEC Form 4 · accession 0001127602-17-032717
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
Nov 15, 2017
Accepted (ET)
Nov 17, 2017 · 5:39 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 | Oct 30, 2017 | G | 2,130 | $0.00 | D | 252,577 | D | |
| Common Stock | Nov 15, 2017 | M | 50,000 | $46.56 | A | 302,577 | D | |
| Common StockF2 | Nov 15, 2017 | S | 49,600 | $188.38 | D | 252,977 | D | |
| Common StockF3 | Nov 15, 2017 | S | 400 | $189.28 | D | 252,577 | 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) | $46.56 | Nov 15, 2017 | M | 50,000 | D | Aug 7, 2013 | Nov 21, 2019 | Common Stock | 50,000 | 50,000 | 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 August 2, 2017.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $188.03 to $188.92, 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 $189.21 to $189.45, inclusive.