SEC Form 4 · accession 0001127602-18-024604
THERMO FISHER SCIENTIFIC INC. · TMO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick M Durbin
Officer — Senior Vice President
Period of report
Aug 1, 2018
Accepted (ET)
Aug 3, 2018 · 4:32 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 StockF2 | Aug 1, 2018 | S | 2,500 | $234.0849 | D | 34,177 | D | |
| Common Stock | Aug 1, 2018 | M | 5,800 | $73.24 | A | 39,977 | D | |
| Common StockF3 | Aug 1, 2018 | S | 5,302 | $233.826 | D | 34,675 | D | |
| Common StockF4 | Aug 1, 2018 | S | 498 | $234.474 | D | 34,177 | D | |
| Common Stock | Aug 1, 2018 | M | 9,187 | $124.28 | A | 43,364 | D | |
| Common StockF5 | Aug 1, 2018 | S | 8,502 | $233.6803 | D | 34,862 | D | |
| Common StockF6 | Aug 1, 2018 | S | 685 | $234.5759 | D | 34,177 | D | |
| Common Stock | Aug 1, 2018 | M | 3,063 | $124.28 | A | 37,240 | D | |
| Common StockF7 | Aug 1, 2018 | S | 3,063 | $234.046 | D | 34,177 | D |
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 | $73.24 | Aug 1, 2018 | M | 5,800 | D | — | Feb 26, 2020 | Common Stock | 5,800 | 0 | D |
| Stock Option (Right to Buy)F9 | $124.28 | Aug 1, 2018 | M | 9,187 | D | — | Feb 26, 2021 | Common Stock | 9,187 | 3,063 | D |
| Stock Option (Right to Buy)F9 | $124.28 | Aug 1, 2018 | M | 3,063 | D | — | Feb 26, 2021 | Common Stock | 3,063 | 0 | 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 November 14, 2017.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $233.89 to $234.59, 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), (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 $233.22 to $234.22, inclusive.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $234.23 to $234.635, inclusive.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $233.10 to $234.10, inclusive.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $234.11 to $234.635, inclusive.
- F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $233.80 to $234.33, inclusive.
- F8The option vested in four equal installments on February 26, 2014, 2015, 2016, and 2017.
- F9The option vested in four equal installments on February 26, 2015, 2016, 2017, and 2018.
Remarks
Exhibit List: Exhibit 24 - Confirming Statement