Statement of Changes in Beneficial Ownership (4)
December 13 2019 - 6:03PM
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
*
Fenimore Christopher R. |
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)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) VP Controller |
(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)
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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 | 12/11/2019 | | A(1) | | 1020 | A | $0.0 | 9697 | D | |
Common Stock | 12/11/2019 | | A(2) | | 2500 | A | $0.0 | 12197 | D | |
Common Stock | 12/12/2019 | | M(3) | | 3100 | A | $52.03 | 15297 | D | |
Common Stock | 12/12/2019 | | F(3) | | 1418 | D | $377.16 | 13879 | D | |
Common Stock | 12/13/2019 | | S(3) | | 191 | D | $374.82 (4) | 13688 | D | |
Common Stock | 12/13/2019 | | S(3) | | 624 | D | $375.58 (5) | 13064 | D | |
Common Stock | 12/13/2019 | | S(3) | | 470 | D | $376.27 (6) | 12594 | D | |
Common Stock | 12/13/2019 | | S(3) | | 346 | D | $377.38 (7) | 12248 | D | |
Common Stock | 12/13/2019 | | S(3) | | 51 | D | $378.27 | 12197 | D | |
Common Stock | | | | | | | | 1401 | I | By 401(k) Plan |
Common Stock | | | | | | | | 1897 | I | By Trust (8) |
Common Stock | | | | | | | | 509 | I | by 2017 GRAT |
Common Stock | | | | | | | | 2284 | I | by 2018 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) | $52.03 | 12/12/2019 | | M (3) | | | 3100 | (9) | 12/16/2021 | Common Stock | 3100 | $0.0 | 7226 | D | |
Non-Qualified Stock Option (right to buy) | $372.46 | 12/11/2019 | | A | | 6120 | | (9) | 12/11/2029 | Common Stock | 6120 | $0.0 | 6120 | D | |
Explanation of Responses: |
(1) | Award of Restricted Stock under the Amended and Restated 2014 Long-Term Incentive Plan that vests 50% on December 11, 2021 and 50% on December 11, 2023. |
(2) | Award of Restricted Stock under the Amended and Restated 2014 Long-Term Incentive Plan that vests in its entirety on December 11, 2023. |
(3) | Disposition/acquisition made pursuant to a plan intended to comply with Rule 10b5-1(c). |
(4) | Represents volume-weighted average price of sales of 191 shares of Company stock on December 13, 2019 at prices ranging from $374.65 to $374.98. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on December 13, 2019 at each separate price. |
(5) | Represents volume-weighted average price of sales of 624 shares of Company stock on December 13, 2019 at prices ranging from $375.05 to $375.99. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on December 13, 2019 at each separate price. |
(6) | Represents volume-weighted average price of sales of 470 shares of Company stock on December 13, 2019 at prices ranging from $376.02 to $376.94. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on December 13, 2019 at each separate price. |
(7) | Represents volume-weighted average price of sales of 346 shares of Company stock on December 13, 2019 at prices ranging from $377.09 to $377.87. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on December 13, 2019 at each separate price. |
(8) | These shares are held in a trust for the benefit of the reporting person's spouse. The reporting person and the reporting person's spouse are trustees of the trust. |
(9) | The stock option award vests in four equal annual installments, commencing one year after the date of grant. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Fenimore Christopher R. 777 OLD SAW MILL RIVER ROAD TARRYTOWN, NY 10591 |
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| VP Controller |
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Signatures
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/s/**Christopher R. Fenimore | | 12/13/2019 |
**Signature of Reporting Person | Date |
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