Initial Statement of Beneficial Ownership (3)
July 29 2020 - 7:14PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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Louie Linda H. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
7/23/2020
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3. Issuer Name and Ticker or Trading Symbol
AMGEN INC [AMGN]
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(Last)
(First)
(Middle)
ONE AMGEN CENTER DRIVE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) VP, Finance & CAO / |
(Street)
THOUSAND OAKS, CA 91320
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 6175 (1)(2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Nqso (Right to Buy) | 5/3/2018 (3) | 5/3/2026 | Common Stock | 370 | $156.35 | D | |
Nqso (Right to Buy) | 5/1/2019 (4) | 5/1/2027 | Common Stock | 1633 | $162.60 | D | |
Nqso (Right to Buy) | 4/27/2020 (5) | 4/27/2028 | Common Stock | 1301 | $177.46 | D | |
Nqso (Right to Buy) | 5/3/2021 (6) | 5/3/2029 | Common Stock | 1723 | $177.31 | D | |
Nqso (Right to Buy) | 5/5/2022 (7) | 5/5/2030 | Common Stock | 1417 | $236.36 | D | |
Explanation of Responses: |
(1) | These shares include the following Restricted Stock Units (RSUs) granted under the Company's equity plans: 63 RSUs which fully vest on 5/1/2021; 114 RSUs which vest in two installments of 56 on 4/27/2021 and 58 on 4/27/2022; 197 RSUs which vest in two installments of 65 on 5/3/2021 and 5/3/2022 and one installment of 67 on 5/3/2023; and 169 RSUs which vest in installments of 55 on 5/5/2022, 56 on 5/5/2023 and 58 on 5/5/2024. Vested RSUs will be paid in shares of the Company's common stock on a one-to-one basis. |
(2) | These shares include 22 Dividend Equivalents (DEs) granted pursuant to the Amgen Inc. 2009 Equity Incentive Plan and subject to a qualifying dividend reinvestment plan. DEs are credited on 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. |
(3) | 370 non-qualified stock options have vested and are exercisable. |
(4) | 1,077 of these non-qualified stock options have vested and are exercisable and 556 of these options will vest and become exercisable on 5/1/2021. |
(5) | 429 of these non-qualified stock options have vested and are exercisable and the remaining options will vest and become exercisable in installments of 429 on 4/27/2021 and 443 on 4/27/2022. |
(6) | These non-qualified stock options will vest and become exercisable in three installments of 568 on 5/3/2021, 569 on 5/3/2022 and 586 on 5/3/2023. |
(7) | These non-qualified stock options will vest and become exercisable in three installments of 467 on 5/5/2022, 468 on 5/5/2023 and 482 on 5/5/2024. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Louie Linda H. ONE AMGEN CENTER DRIVE THOUSAND OAKS, CA 91320 |
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| VP, Finance & CAO |
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Signatures
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/s/ Andrea A. Robinson, attorney-in-fact for Ms. Louie | | 7/29/2020 |
**Signature of Reporting Person | Date |
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