Statement of Changes in Beneficial Ownership (4)
March 11 2020 - 4:07PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
YANCOPOULOS GEORGE |
2. Issuer Name and Ticker or Trading Symbol
REGENERON PHARMACEUTICALS, INC.
[
REGN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President and Chief Scientific |
(Last)
(First)
(Middle)
777 OLD SAW MILL RIVER ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/9/2020 |
(Street)
TARRYTOWN, NY 10591
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | | | | | | | | 57465 | I | by 2018 GRAT |
Common Stock | | | | | | | | 500000 | I | by 2019 GRAT |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
Non-Qualified Stock Option (right to buy) | $30.63 | 3/9/2020 | | M (1) | | | 96736 | (2) | 12/14/2020 | Common Stock | 96736 | $0.0 | 150000 | D | |
Non-Qualified Stock Option (right to buy) | $30.63 | 3/9/2020 | | M (1) | | | 150000 | (2) | 12/14/2020 | Common Stock | 150000 | $0.0 | 0 (3) | D | |
Explanation of Responses: |
(1) | Disposition/acquisition made pursuant to a plan intended to comply with Rule 10b5-1(c). |
(2) | With respect to 96,736 underlying shares, the option award vested in four equal annual installments, commencing one year after the date of grant; and with respect to 150,000 underlying shares, the option became exercisable on December 31, 2013, based upon the satisfaction by the Company of certain performance criteria during the period ended December 31, 2013. |
(3) | Form two of two |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
YANCOPOULOS GEORGE 777 OLD SAW MILL RIVER ROAD TARRYTOWN, NY 10591 | X |
| President and Chief Scientific |
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Signatures
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/s/**George D. Yancopoulos | | 3/11/2020 |
**Signature of Reporting Person | Date |
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