SEC Form 4 · accession 0001127602-16-051297
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
May 3, 2016
Accepted (ET)
May 5, 2016 · 8:42 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 | 2,046 | $0.00 | A | 25,671 | D | |
| Common StockF4 | holding | — | — | — | 593 | I | 401(k) Plan |
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)F5 | $156.35 | May 3, 2016 | A | 17,422 | A | May 3, 2018 | May 3, 2026 | Common Stock | 17,422 | 17,422 | 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: 334 RSUs which vest 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; 1,127 RSUs which vest in two installments of 555 and 572 on 1/31/2017 and 1/31/2018, respectively; 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; and 2,046 RSUs which vest in two equal installments of 675 on 5/3/2018 and 5/3/2019 and one installment of 696 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 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.
- F4These are shares acquired under the Company's 401(k) Plan and represent interests in the Company's stock fund as of this filing.
- F5These 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.