SEC Form 4 · accession 0001127602-18-021038
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
Jun 13, 2018
Accepted (ET)
Jun 15, 2018 · 4:08 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 | May 3, 2018 | G | 22,500 | $0.00 | D | 272,122 | D | |
| Common Stock | May 11, 2018 | G | 2,000 | $0.00 | D | 270,122 | D | |
| Common Stock | Jun 13, 2018 | M | 50,000 | $46.56 | A | 320,122 | D | |
| Common StockF2 | Jun 13, 2018 | S | 35,557 | $217.5323 | D | 284,565 | D | |
| Common StockF3 | Jun 13, 2018 | S | 14,443 | $218.1341 | D | 270,122 | 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)F4 | $46.56 | Jun 13, 2018 | M | 50,000 | D | — | Nov 21, 2019 | Common Stock | 50,000 | 220,520 | 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 $216.94 to $217.94, 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 $217.95 to $218.61, inclusive.
- F4The option vested in five annual installments occurring on November 21, 2011, 2012, 2013, 2014, and 2015.
Remarks
Exhibit List: Exhibit 24 - Confirming Statement