SEC Form 4 · accession 0001127602-19-007166
THERMO FISHER SCIENTIFIC INC. · TMO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter E Hornstra
Officer — VP & Chief Accounting Officer
Period of report
Feb 15, 2019
Accepted (ET)
Feb 20, 2019 · 4:10 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 | Feb 15, 2019 | S | 857 | $250.00 | D | 17,057 | D | |
| Common Stock | Feb 15, 2019 | M | 1,650 | $129.77 | A | 18,707 | D | |
| Common Stock | Feb 15, 2019 | S | 1,650 | $250.00 | D | 17,057 | D | |
| Common Stock | Feb 15, 2019 | M | 638 | $124.28 | A | 17,695 | D | |
| Common Stock | Feb 15, 2019 | S | 638 | $250.00 | D | 17,057 | D | |
| Common Stock | Feb 15, 2019 | M | 2,775 | $131.07 | A | 19,832 | D | |
| Common Stock | Feb 15, 2019 | S | 2,775 | $250.00 | D | 17,057 | D | |
| Common Stock | holding | — | — | — | 534 | I | By 401(k) |
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 | $129.77 | Feb 15, 2019 | M | 1,650 | D | — | Feb 24, 2023 | Common Stock | 1,650 | 1,650 | D |
| Stock Option (Right to Buy)F3 | $124.28 | Feb 15, 2019 | M | 638 | D | — | Feb 26, 2021 | Common Stock | 638 | 0 | D |
| Stock Option (Right to Buy)F4 | $131.07 | Feb 15, 2019 | M | 2,775 | D | — | Feb 25, 2022 | Common Stock | 2,775 | 925 | 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 6, 2018.
- F2The option vests in four equal annual installments beginning on February 24, 2017.
- F3The options vested in four equal installments on February 26, 2015, 2016, 2017, and 2018.
- F4The option vests in four equal annual installments beginning on February 25, 2016.