SEC Form 4 · accession 0001127602-18-012641
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
Mar 21, 2018
Accepted (ET)
Mar 23, 2018 · 4:10 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 21, 2018 | M | 40,000 | $46.56 | A | 334,622 | D | |
| Common StockF2 | Mar 21, 2018 | S | 34,956 | $213.321 | D | 299,666 | D | |
| Common StockF3 | Mar 21, 2018 | S | 5,044 | $214.428 | D | 294,622 | D | |
| Common Stock | Mar 22, 2018 | M | 40,000 | $46.56 | A | 334,622 | D | |
| Common StockF4 | Mar 22, 2018 | S | 12,725 | $209.284 | D | 321,897 | D | |
| Common StockF5 | Mar 22, 2018 | S | 18,152 | $210.182 | D | 303,745 | D | |
| Common StockF6 | Mar 22, 2018 | S | 8,323 | $211.289 | D | 295,422 | D | |
| Common StockF7 | Mar 22, 2018 | S | 800 | $211.969 | D | 294,622 | 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)F8 | $46.56 | Mar 21, 2018 | M | 40,000 | D | — | Nov 21, 2019 | Common Stock | 40,000 | 310,520 | D |
| Stock Option (Right to Buy)F8 | $46.56 | Mar 22, 2018 | M | 40,000 | D | — | Nov 21, 2019 | Common Stock | 40,000 | 270,520 | 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 February 5, 2018.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $212.949 to $213.93, 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 (3), (4), (5), (6), and (7) 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 $214.04 to $214.93, inclusive.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $208.79 to $209.79, inclusive.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $209.80 to $210.79, inclusive.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $210.805 to $211.75, inclusive.
- F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $211.845 to $212.32, inclusive.
- F8The option vested in five annual installments occuring on November 21, 2011, 2012, 2013, 2014 and 2015.