Statement of Changes in Beneficial Ownership (4)
December 13 2019 - 4:45PM
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
*
YANCOPOULOS GEORGE |
2. Issuer Name and Ticker or Trading Symbol
REGENERON PHARMACEUTICALS, INC.
[
REGN
]
|
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 CSO |
(Last)
(First)
(Middle)
777 OLD SAW MILL RIVER ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/11/2019 |
(Street)
TARRYTOWN, NY 10591
(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 | 11/18/2019 | | G |
V
| 325986 | A | $0.00 | 325986 | D | |
Common Stock | 12/12/2019 | | M(1) | | 95295 | A | $21.25 | 421281 | D | |
Common Stock | 12/12/2019 | | F(1) | | 49405 | D | $377.16 | 371876 | D | |
Common Stock | 12/12/2019 | | M(1) | | 150000 | A | $21.25 | 521876 | D | |
Common Stock | 12/12/2019 | | F(1) | | 77767 | D | $377.16 | 444109 | D | |
Common Stock | 8/5/2019 | | G |
V
| 75036 | D | $0.00 | 0 | I | by 2017 GRAT |
Common Stock | 2/19/2019 | | G |
V
| 150722 | D | $0.00 | 249278 | I | by 2018 GRAT |
Common Stock | 6/13/2019 | | G |
V
| 500000 | A | $0.00 | 500000 | I | by 2019 GRAT |
Common Stock | 2/19/2019 | | G |
V
| 150722 | A | $0.00 | 753316 | I | by Trust |
Common Stock | 6/13/2019 | | G |
V
| 500000 | D | $0.00 | 253316 | I | by Trust |
Common Stock | 8/5/2019 | | G |
V
| 75036 | A | $0.00 | 328352 | I | by Trust |
Common Stock | 11/14/2019 | | G |
V
| 2366 | D | $0.00 | 325989 | I | by Trust |
Common Stock | 11/18/2019 | | G |
V
| 325986 | D | $0.00 | 0 | I | by Trust |
Common Stock | | | | | | | | 5791 | I | By 401(k) 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 |
Class A Stock | (2) | 11/18/2019 | | G |
V
| 23367 | | (3) | (3) | Common Stock | 23367 | $0.00 | 23367 | D | |
Class A Stock | (2) | 11/18/2019 | | G |
V
| | 23367 | (3) | (3) | Common Stock | 23367 | $0.00 | 0 | I | By Trust |
Class A Stock | (2) | | | | | | | (3) | (3) | Common Stock | 5383 | | 5383 | I | By Son (4) |
Class A Stock | (2) | | | | | | | (3) | (3) | Common Stock | 14000 | | 14000 | I | By Daughter (4) |
Non-Qualified Stock Option (right to buy) | $21.25 | 12/12/2019 | | M (1) | | | 95295 | (5) | 12/18/2019 | Common Stock | 95295 | $0.00 | 150000 | D | |
Non-Qualified Stock Option (right to buy) | $21.25 | 12/12/2019 | | M (1) | | | 150000 | (6) | 12/18/2019 | Common Stock | 150000 | $0.00 | 0 | D | |
Non-Qualified Stock Option (right to buy) | $372.46 | 12/11/2019 | | A | | 81278 | | (7) | 12/11/2029 | Common Stock | 81278 | $0.00 | 81278 | D | |
Performance Stock Units | (8) | 12/11/2019 | | A | | 25155 | | (8) | (8) | Common Stock | 25155 | $0.00 | 25155 | D | |
Explanation of Responses: |
(1) | Disposition/acquisition made pursuant to a plan intended to comply with Rule 10b5-1(c). |
(2) | Class A Stock of Regeneron Pharmaceuticals, Inc. ("Regeneron") converts to Common Stock of Regeneron on a one-to-one basis upon certain events or upon election of
the shareholder. |
(3) | These shares of Class A Stock are presently convertible and such conversion feature does not expire. |
(4) | These shares of Class A Stock are held in custody for the benefit of the reporting person's child. |
(5) | The stock option award (combined incentive stock option and non-qualified stock option) vested in four equal annual installments, commencing one year after the date of
grant. |
(6) | The option became exercisable on December 31, 2012, based upon the satisfaction by the company of certain performance criteria during the period ended December 31,
2012. |
(7) | The stock option award vests in four equal annual installments, commencing one year after the date of grant. |
(8) | Each performance-based restricted stock unit ("PSU") represents the contingent right to receive one share of the issuer's common stock at vesting. The amount reported reflects the maximum number of PSUs that may vest based upon the achievement of certain performance metrics related to total shareholder return over four-year and/or five-year performance periods ending on December 11, 2023 and December 11, 2024, respectively. Between 50% and 225% of the target number of PSUs (i.e., between 50% and 225% of 11,180 PSUs) may vest upon achievement of predetermined total shareholder return percentages derived from compound annual growth rates of 5% to 15% for the applicable performance period. If none of the performance metrics are achieved at the conclusion of the performance periods, the award expires. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
YANCOPOULOS GEORGE 777 OLD SAW MILL RIVER ROAD TARRYTOWN, NY 10591 | X |
| President and CSO |
|
Signatures
|
/s/ George Yancopoulos | | 12/13/2019 |
**Signature of Reporting Person | Date |
Regeneron Pharmaceuticals (NASDAQ:REGN)
Historical Stock Chart
From Aug 2024 to Sep 2024
Regeneron Pharmaceuticals (NASDAQ:REGN)
Historical Stock Chart
From Sep 2023 to Sep 2024