Statement of Changes in Beneficial Ownership (4)
May 07 2019 - 7:09PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Santos Esteban
|
2. Issuer Name
and
Ticker or Trading Symbol
AMGEN INC
[
AMGN
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
EVP, Operations
|
(Last)
(First)
(Middle)
ONE AMGEN CENTER DRIVE
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/3/2019
|
(Street)
THOUSAND OAKS, CA 91320-1799
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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 Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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
|
5/3/2019
|
|
F
|
|
182
|
D
|
$176.50
|
35382
|
D
|
|
Common Stock
|
5/3/2019
|
|
A
|
|
3947
(1)
|
A
|
$0
|
39329
(2)
(3)
|
D
|
|
Common Stock
|
|
|
|
|
|
|
|
733.5988
(4)
|
I
|
401K Plan
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
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
|
Iso (Right to Buy)
|
$177.31
|
5/3/2019
|
|
A
|
|
34460
|
|
5/3/2021
(5)
|
5/3/2029
|
Common Stock
|
34460
|
$0
|
34460
|
D
|
|
Explanation of Responses:
|
(1)
|
The Restricted Stock Units (RSUs) were granted pursuant to the Amgen Inc. 2009 Amended and Restated Equity Incentive Plan and vest in three installments of 33%, 33% and 34% on 5/3/2021, 5/3/2022 and 5/3/2023, respectively.
|
(2)
|
These shares include the following RSUs granted under the Company's equity plans: 348 RSUs which vest on 5/3/2020; 7,694 RSUs which vest in one installment of 3,789 on 8/1/2019 and one installment of 3,905 on 8/1/2020; 2,308 RSUs which vest in installments of 1,137 on 5/1/2020 and 1,171 on 5/1/2021; 3,155 RSUs which vest in two equal installments of 1,041 on 4/27/2020 and 4/27/2021 and 1,073 on 4/27/2022; and 3,947 RSUs which will vest in installments of 1,302 on 5/3/2021, 1,303 on 5/3/2022 and 1,342 on 5/3/2023. Vested RSUs will be paid in shares of the Company's common stock on a one-to-one basis.
|
(3)
|
These shares include 853 Dividend Equivalents (DEs) granted pursuant to the Amgen Inc. Amended and Restated 2009 Equity Incentive Plan and subject to a qualifying dividend reinvestment plan. DEs are credited to the reporting person's unvested RSUs and are paid out in shares of the Company's common stock on a one-to-one basis according to the vesting schedule, along with a cash payment for any remaining fractional share amount.
|
(4)
|
These shares are acquired under the Company's 401(k) Plan and represent interests in the Company's stock fund as of this filing.
|
(5)
|
These non-qualified stock options are exercisable in three installments of 33%, 33% and 34% on 5/3/2021, 5/3/2022 and 5/3/2023, respectively.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Santos Esteban
ONE AMGEN CENTER DRIVE
THOUSAND OAKS, CA 91320-1799
|
|
|
EVP, Operations
|
|
Signatures
|
/s/ Esteban Santos
|
|
5/7/2019
|
**
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 control number.
|
Amgen (NASDAQ:AMGN)
Historical Stock Chart
From Aug 2024 to Sep 2024
Amgen (NASDAQ:AMGN)
Historical Stock Chart
From Sep 2023 to Sep 2024