SEC Form 4 · accession 0001127602-15-029630
AMGEN INC · AMGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stuart A Tross
Officer — SVP, Human Resources
Period of report
Oct 25, 2015
Accepted (ET)
Oct 27, 2015 · 6:16 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 StockF1,F2 | Oct 25, 2015 | F | 569 | $155.75 | D | 20,696 | D | |
| Common StockF3 | holding | — | — | — | 593 | I | 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares include the following Restricted Stock Units (RSUs) granted under the Company's equity plans: 449 RSUs which vest on 4/27/2016; 658 RSUs which vest in one installment of 324 on 4/26/2016 and one installment of 334 on 4/26/2017; 2,131 RSUs which vest in one installment of 1,049 on 10/25/2016 and one installment of 1,082 on 10/25/2017; 1,681 RSUs which vest in three installments of 554, 555 and 572 on 1/31/2016, 1/31/2017 and 1/31/2018, respectively; and 1,576 RSUs which vest in two equal installments of 520 on 1/30/2017 and 1/30/2018 and one installment of 536 on 1/30/2019. Vested RSUs will be paid in shares of the Company's common stock on a one-to-one basis.
- F2These shares include 225 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 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.
- F3These are shares acquired under the Company's 401(k) Plan and represent interests in the Company's stock fund as of this filing.