SEC Form 4 · accession 0001127602-15-016867
AMGEN INC · AMGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Madhavan Balachandran
Officer — EVP, Operations
Period of report
May 7, 2015
Accepted (ET)
May 11, 2015 · 4:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000318154
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 7, 2015 | M | 6,000 | $58.43 | A | 39,394 | D | |
| Common Stock | May 7, 2015 | M | 15,750 | $54.69 | A | 55,144 | D | |
| Common StockF1 | May 7, 2015 | S | 6,000 | $157.9153 | D | 49,144 | D | |
| Common StockF2,F3,F4 | May 7, 2015 | S | 15,750 | $157.8542 | D | 33,394 | D | |
| Common Stock | holding | — | — | — | 56,573 | I | By Family Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Nqso (Right to Buy) | $58.43 | May 7, 2015 | M | 6,000 | D | Apr 26, 2011 | Apr 26, 2020 | Common Stock | 6,000 | 0 | D |
| Nqso (Right to Buy) | $54.69 | May 7, 2015 | M | 15,750 | D | Apr 25, 2013 | Apr 25, 2021 | Common Stock | 15,750 | 0 | D |
Explanation of responses
- F1The price reported is an average price. The prices ranged from $157.90 to $157.94 per share. Full information regarding the number of shares sold at each separate price within the range set forth above is available upon request by the SEC, the issuer or a security holder of the issuer.
- F2The price reported is an average price. The prices ranged from $157.81 to $157.93 per share. Full information regarding the number of shares sold at each separate price within the range set forth above is available upon request by the SEC, the issuer or a security holder of the issuer.
- F3These shares include the following Restricted Stock Units (RSUs) granted under the Company's equity plans: 855 RSUs which vest on 4/27/2016; 17,845 RSUs which vest in one installment of 8,789 on 7/31/2015 and one installment of 9,056 on 7/31/2016; 5,010 RSUs which vest in one installment of 2,467 on 1/28/2016 and one installment of 2,543 on 1/28/2017; 4,707 RSUs which vest in two equal installments of 1,553 each on 1/31/2016 and 1/31/2017 and one installment of 1,601 on 1/31/2018; and 3,677 RSUs which vest in two equal installments of 1,213 on 1/30/2017 and 1/30/2018 and one installment of 1,251 on 1/30/2019. Vested RSUs will be paid in shares of the Company's common stock on a one-to-one basis.
- F4These shares include 1,300 Dividend Equivalents (DEs) granted pursuant to the Amgen Inc. 2009 Amended and Restated 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.