MARC N. CASPER - 03 Aug 2023 Form 4 Insider Report for THERMO FISHER SCIENTIFIC INC. (TMO)

Role
Chairman & CEO, Director
Signature
/s/ Melodie T. Morin, Attorney-in-Fact for Marc N. Casper
Issuer symbol
TMO
Transactions as of
03 Aug 2023
Net transactions value
-$7,839,767
Form type
4
Filing time
07 Aug 2023, 16:05:17 UTC
Previous filing
10 May 2023
Next filing
09 Aug 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction TMO Common Stock Options Exercise $1,576,800 +10,000 +7.1% $157.68 151,330 03 Aug 2023 Direct
transaction TMO Common Stock Sale $163,698 -300 -0.2% $545.66 151,030 03 Aug 2023 Direct F1
transaction TMO Common Stock Sale $875,888 -1,600 -1.1% $547.43 149,430 03 Aug 2023 Direct F1, F2
transaction TMO Common Stock Sale $1,644,750 -3,000 -2% $548.25 146,430 03 Aug 2023 Direct F1, F3
transaction TMO Common Stock Sale $1,043,822 -1,900 -1.3% $549.38 144,530 03 Aug 2023 Direct F1, F4
transaction TMO Common Stock Sale $1,155,693 -2,100 -1.5% $550.33 142,430 03 Aug 2023 Direct F1, F5
transaction TMO Common Stock Sale $606,199 -1,100 -0.77% $551.09 141,330 03 Aug 2023 Direct F1, F6
transaction TMO Common Stock Gift $0 -3,300 -100% $0.000000* 0 03 Aug 2023 By Spouse F7
transaction TMO Common Stock Gift $0 +3,300 +165% $0.000000 5,300 03 Aug 2023 By Alison Casper 2020 Irrevocable Trust F7, F8
transaction TMO Common Stock Gift $0 -6,000 -4.2% $0.000000 135,330 03 Aug 2023 Direct F7
transaction TMO Common Stock Gift $0 +6,000 $0.000000 6,000 03 Aug 2023 By Spouse F7
transaction TMO Common Stock Options Exercise $1,576,800 +10,000 +7.4% $157.68 145,330 04 Aug 2023 Direct
transaction TMO Common Stock Sale $657,060 -1,200 -0.83% $547.55 144,130 04 Aug 2023 Direct F1, F9
transaction TMO Common Stock Sale $892,588 -1,627 -1.1% $548.61 142,503 04 Aug 2023 Direct F1, F10
transaction TMO Common Stock Sale $1,318,968 -2,400 -1.7% $549.57 140,103 04 Aug 2023 Direct F1, F11
transaction TMO Common Stock Sale $793,126 -1,441 -1% $550.40 138,662 04 Aug 2023 Direct F1, F12
transaction TMO Common Stock Sale $789,734 -1,432 -1% $551.49 137,230 04 Aug 2023 Direct F1, F13
transaction TMO Common Stock Sale $331,632 -600 -0.44% $552.72 136,630 04 Aug 2023 Direct F1, F14
transaction TMO Common Stock Sale $498,384 -900 -0.66% $553.76 135,730 04 Aug 2023 Direct F1, F15
transaction TMO Common Stock Sale $221,824 -400 -0.29% $554.56 135,330 04 Aug 2023 Direct F1, F16
holding TMO Common Stock 59,155 03 Aug 2023 By Floral Park Associates, Inc.
holding TMO Common Stock 5,000 03 Aug 2023 By MNC 2020 Irrevocable Trust

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction TMO Stock Option (Right to Buy) Options Exercise $0 -10,000 -16% $0.000000 53,200 03 Aug 2023 Common Stock 10,000 $157.68 Direct F17
transaction TMO Stock Option (Right to Buy) Options Exercise $0 -10,000 -19% $0.000000 43,200 04 Aug 2023 Common Stock 10,000 $157.68 Direct F17
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 18, 2022.
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $546.835 to $547.83, 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), (9), (10), (11), (12), (13), (14), (15) and (16) to this Form 4.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $547.84 to $548.83, inclusive.
F4 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $548.84 to $549.835, inclusive.
F5 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $549.84 to $550.815, inclusive.
F6 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $550.845 to $551.41, inclusive.
F7 Effective February 27, 2023, donations of equity securities are to be reported on a Form 4 within two business days rather than on Form 5 within 45 days after the end of the fiscal year. Although the identifying "V" for donations made before February 27 and reported early on Form 4, the "V' is not appropriate for the donation reported on this Form 4. The "V" is included here due solely to a limitation in the issuer's filing software which is currently being reprogrammed.
F8 The reporting person disclaims beneficial ownership of the securities reported herein as indirectly beneficially owned, except to the extent of any pecuniary interest therein.
F9 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $546.99 to $547.97, inclusive.
F10 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $548.03 to $549.00, inclusive.
F11 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $549.04 to $550.01, inclusive.
F12 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $550.06 to $550.95, inclusive.
F13 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $551.12 to $551.99, inclusive.
F14 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $552.18 to $553.06, inclusive.
F15 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $553.19 to $554.155, inclusive.
F16 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $554.31 to $554.83, inclusive.
F17 The option vested in four equal installments on February 28, 2018, 2019, 2020, and 2021.