SEC Form 4 filed by Thermo Fisher Scientific Inc.
$SNCE
Computer Software: Prepackaged Software
Technology
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | ||||||||||||||||
| Check this box to indicate that a 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). See Instruction 10. | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Science 37 Holdings, Inc. [ SNCE ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 03/12/2024 | ||||||||||||||||||||||||||
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4. 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 Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 03/12/2024 | U | 868,990 | D | $5.75 | 0 | I(1)(2)(3)(4)(5) | See footnote(1)(2)(3)(4) | ||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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| Explanation of Responses: |
| 1. For the reasons discussed in the Remarks below, this and a separate Form 4 filed today are being jointly filed by and on behalf of each of the persons listed in footnote 2 (the "Reporting Persons"). The Reporting Persons are making these joint filings because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
| 2. Reporting Persons: (i) Pharmaceutical Product Development, LLC ("Pharma LLC"); (ii) Wildcat Acquisition Holdings (UK) Limited ("Wildcat"); (iii) Jaguar Holding Company II ("Jaguar II"); (iv) Jaguar Holding Company I, LLC ("Jaguar I"); (v) Eagle Holding Company II, LLC ("Eagle II"); (vi) PPD, Inc. ("PPD"); (vii) Thermo Fisher Scientific Powder US Holdings Corp. ("Powder Holdings"); (viii) Thermo Fisher Scientific US Holdings Ltd ("US Holdings"); (ix) Thermo Fisher Scientific Powder Holdings II Ltd ("Powder Holdings II"); (x) Thermo Fisher Scientific Powder Holdings IV Ltd ("Powder Holdings IV"); (xi) Thermo Fisher Scientific Powder Holdings I Ltd ("Powder Holdings I"); (xii) Thermo Fisher Scientific Powder Holdings III Ltd ("Powder Holdings III"); (xiii) Spectra-Physics Holdings USA, LLC; (xiv); Fisher Scientific Worldwide Inc. ("Worldwide"); (xv) Fisher Scientific International LLC ("Scientific International"); and (xvi) Thermo Fisher Scientific Inc. ("Thermo Fisher"). |
| 3. The referenced shares of common stock, par value $0.0001 per share, of Science 37 Holdings, Inc. (the "Issuer") were held of record by Pharma LLC. The Reporting Persons' ownership of Pharma LLC is summarized as follows here and in footnote 4. Wildcat is the sole member of Pharma LLC; Jaguar II is the sole shareholder of Wildcat; Jaguar I is the sole shareholder of Jaguar II; Eagle II is the sole member of Jaguar I; PPD is the sole member of Eagle II; Powder Holdings is the sole shareholder of PPD; US Holdings is the sole shareholder of Powder Holdings; Powder Holdings II is the sole shareholder of US Holdings; Powder Holdings IV and Powder Holdings I are the 11.76% shareholder and the 88.24% shareholder, respectively, of Powder Holdings II. |
| 4. Powder Holdings III is the sole shareholder of Powder Holdings IV; Spectra-Physics is the sole shareholder of Powder Holdings I; Worldwide is the sole member of Spectra-Physics; Scientific International is the sole shareholder of Worldwide; Scientific International is the sole shareholder of Powder Holdings III; and Thermo Fisher is the sole member of Scientific International. By virtue of such relationships and the relationships discussed in footnote 3, each of the Reporting Persons may be deemed to have beneficial ownership over the shares of common stock discussed in footnote 3. |
| 5. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein. |
| Remarks: |
| Because an electronically filed joint filing is limited to a maximum of ten reporting persons, this Form 4 is one of two filed today reporting on the same classes of securities of the same Issuer by the joint filers named in footnote 2 above. Each Form 4 will be filed by Thermo Fisher. On December 8, 2023, the Issuer effected a reverse stock split of its common stock at a ratio of 1-for-20 (the "Reverse Stock Split"). As a result of the Reverse Stock Split, the shares of Issuer common stock have been adjusted accordingly. |
| Thermo Fisher Scientific Inc., /s/ Michael Boxer, Senior Vice President and General Counsel | 03/14/2024 | |
| Thermo Fisher Scientific Powder Holdings III Ltd, /s/ Anthony H. Smith, Director | 03/14/2024 | |
| Thermo Fisher Scientific Powder Holdings II Ltd, /s/ Anthony H. Smith, Director | 03/14/2024 | |
| Thermo Fisher Scientific Powder Holdings I Ltd, /s/ Anthony H. Smith, Director | 03/14/2024 | |
| Spectra-Physics Holdings USA, LLC, /s/ Anthony H. Smith, Treasurer and Assistant Secretary | 03/14/2024 | |
| Fisher Scientific Worldwide Inc., /s/ Anthony H. Smith, Treasurer and Assistant Secretary | 03/14/2024 | |
| Fisher Scientific International LLC, /s/ Anthony H. Smith, Vice President and Treasurer | 03/14/2024 | |
| ** 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 4 (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. | ||