SEC Form 4 · accession 0001127602-16-046612
AMGEN INC · AMGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank C Herringer
Director
Period of report
Mar 14, 2016
Accepted (ET)
Mar 16, 2016 · 6:48 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 | Mar 14, 2016 | M | 5,000 | $50.44 | A | 30,608 | D | |
| Common StockF1 | Mar 14, 2016 | F | 1,745 | $144.57 | D | 28,863 | D | |
| Common Stock | holding | — | — | — | 6,152 | I | Frank C & Maryellen C Herringer 1995 Family Trust | |
| Common Stock | holding | — | — | — | 7,000 | I | Frank C. Herringer 1995 Family Trust | |
| Common Stock | holding | — | — | — | 2,000 | I | The Julia Herringer 2012 Trust | |
| Common Stock | holding | — | — | — | 2,000 | I | The Sarah Herringer 2012 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) | $50.44 | Mar 14, 2016 | M | 5,000 | D | Apr 28, 2009 | Apr 28, 2016 | Common Stock | 5,000 | 0 | D |
Explanation of responses
- F1Non-market net exercise of 5,000 stock options expiring April 28, 2016 wherein 1,745 shares issuable pursuant to the exercise of these options were withheld by the Company to cover the option exercise price, with the remaining shares delivered to the reporting person. These shares include 1,240 Dividend Equivalent (DEs) granted pursuant to the Director Program and subject to a qualifying dividend reinvestment plan. DEs are credited on the director's vested but deferred Restricted Stock Units and are paid out in shares of the Company's common stock on a one-to-one basis along with a cash payment for any remaining fractional share amount.