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*
Holmes Joseph R.

(Last) (First) (Middle)
168 THIRD AVENUE

(Street)
WALTHAM MA 02451

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
03/31/2021
3. Issuer Name and Ticker or Trading Symbol
THERMO FISHER SCIENTIFIC INC. [ TMO ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
VP & Chief Accounting Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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 845 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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) 08/07/2024 Common Stock 284 177.35 D
Stock Option (Right to Buy) (2) 02/27/2025 Common Stock 950 210.68 D
Stock Option (Right to Buy) (3) 02/26/2026 Common Stock 770 253.99 D
Stock Option (Right to Buy) (4) 02/25/2027 Common Stock 560 309.63 D
Stock Option (Right to Buy) (5) 11/12/2027 Common Stock 268 486.56 D
Stock Option (Right to Buy) (6) 02/23/2028 Common Stock 820 458.81 D
Explanation of Responses:
1. The option vests in four equal annual installments. One-quarter of the shares vested on August 7, 2018, 2019 and 2020, each having been fully exercised. The remaining one-quarter will vest on August 7, 2021.
2. The option vests in four equal annual installments. One-quarter of the shares vested on February 27, 2019, 2020, and 2021 and the remaining one-quarter will vest on February 27, 2022.
3. The option vests in four equal annual installments. One-quarter of the shares vested on February 26, 2020 and 2021, and the remaining two quarters will vest on February 26, 2022 and 2023.
4. The option vests 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.
5. The option vests in four equal annual installments on November 12, 2021, 2022, 2023, and 2024.
6. The option vests in four equal annual installments on February 23, 2022, 2023, 2024 and 2025.
Remarks:
Exhibit List: Exhibit 24 - Confirming Statement
/s/ Melodie T. Morin, Attorney-in-Fact for Joseph R. Holmes 04/06/2021
** 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.
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