SEC Form 4 · accession 0001127602-16-051292
AMGEN INC · AMGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian M McNamee
Officer — EVP
Period of report
May 3, 2016
Accepted (ET)
May 5, 2016 · 8:32 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,F3 | May 3, 2016 | A | 3,581 | $0.00 | A | 91,989 | D |
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)F4 | $156.35 | May 3, 2016 | A | 30,490 | A | May 3, 2018 | May 3, 2026 | Common Stock | 30,490 | 30,490 | D |
Explanation of responses
- F1The Restricted Stock Units (RSUs) were granted pursuant to the Amgen Inc. 2009 Amended and Restated Equity Incentive Plan and vest in three installments of 33%, 33% and 34% on 5/3/2018, 5/3/2019 and 5/3/2020, respectively.
- F2These shares include the following RSUs granted under the Company's equity plans: 1,510 RSUs which vest on 1/28/2017; 3,800 RSUs which vest in one installment on 10/25/2016; 3,154 RSUs which vest in one installment of 1,553 on 1/31/2017 and one installment of 1,601 on 1/31/2018; 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; and 3,581 RSUs which vest in installments of 1,181 on 5/3/2018, 1,182 on 5/3/2019 and 1,218 on 5/3/2020. Vested RSUs will be paid in shares of the Company's common stock on a one-to-one basis.
- F3These shares include 538 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.
- F4This non-qualified stock options are exercisable in three installments of 33%, 33% and 34% on 5/3/2018, 5/3/2019 and 5/3/2020, respectively.