SEC Form 3
| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 12/27/2021 | 3. Issuer Name and Ticker or Trading Symbol THERMO FISHER SCIENTIFIC INC. [ TMO ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock | 12,975 | D | |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Stock Option (Right to Buy) | (1) | 02/27/2025 | Common Stock | 4,200 | 210.68 | D | |
| Stock Option (Right to Buy) | (2) | 02/27/2025 | Common Stock | 775 | 210.68 | D | |
| Stock Option (Right to Buy) | (3) | 02/26/2026 | Common Stock | 3,725 | 253.99 | D | |
| Stock Option (Right to Buy) | (4) | 09/05/2026 | Common Stock | 2,250 | 294.02 | D | |
| Stock Option (Right to Buy) | (5) | 02/25/2027 | Common Stock | 11,200 | 309.63 | D | |
| Stock Option (Right to Buy) | (6) | 11/05/2027 | Common Stock | 3,870 | 514.76 | D | |
| Stock Option (Right to Buy) | (7) | 02/23/2028 | Common Stock | 12,000 | 458.81 | D | |
| Stock Option (Right to Buy) | (8) | 11/01/2028 | Common Stock | 8,911 | 635.1 | D | |
| Explanation of Responses: |
| 1. The options vest in four equal annual installments. Two-quarters of the shares vested on February 27, 2019 and 2020, each having been fully exercised. One-quarter vested on February 27, 2021, and the remaining one-quarter will vest on February 27, 2022. |
| 2. The options vest in four equal annual installments. Three-quarters of the shares vested on February 27, 2019, 2020 and 2021, each having been fully exercised. The remaining one-quarter will vest on February 27, 2022. |
| 3. The options vest in four equal annual installments. Two-quarters of the shares vested on February 26, 2020 and 2021, each having been fully exercised. The remaining two-quarters will vest on February 26, 2022 and 2023. |
| 4. The options vest in four equal annual installments. Two-quarters of the shares vested on September 5, 2020 and 2021, and the remaining two-quarters will vest on September 5, 2022 and 2023. |
| 5. The options vest in four equal annual installments. One-quarter of the shares vested on February 25, 2021, and the remaining three-quarters will vest on February 25, 2022, 2023 and 2024. |
| 6. The options vest in four equal annual installments. One-quarter of the shares vested on November 5, 2021, and the remaining three-quarters will vest on November 5, 2022, 2023, and 2024. |
| 7. The options vest in four equal annual installments on February 23, 2022, 2023, 2024 and 2025. |
| 8. The options vest in four equal annual installments on November 1, 2022, 2023, 2024, and 2025. |
| Remarks: |
| Exhibit List: Exhibit 24 - Confirming Statement |
| /s/ Melodie T. Morin, Attorney-in-Fact for Gianluca Pettiti | 12/27/2021 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||