SEC Form 4 · accession 0001127602-17-016752
AMGEN INC · AMGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony C Hooper
Officer — EVP, Global Commercial Ops.
Period of report
May 1, 2017
Accepted (ET)
May 3, 2017 · 8:50 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 1, 2017 | A | 4,920 | $0.00 | A | 203,402 | 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 | $162.60 | May 1, 2017 | A | 43,572 | A | May 1, 2019 | May 1, 2027 | Common Stock | 43,572 | 43,572 | 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 annual installments of 33%, 33% and 34% on 5/1/2019, 5/1/2020 and 5/1/2021, respectively.
- F2These shares include the following RSUs granted under the Company's equity plans: 1,715 RSUs which vest on 1/31/2018; 3,080 RSUs which vest in two installments of 1,517 and 1,563 on 1/30/2018 and 1/30/2019, respectively; 5,116 RSUs which vest in two equal installments of 1,688 on 5/3/2018 and 5/3/2019 and one installment of 1,740 on 5/3/2020; and 4,920 RSUs which vest in installments of 1,623 on 5/1/2019, 1,624 on 5/1/2020 and 1,673 on 5/1/2021. Vested RSUs will be paid in shares of the Company's common stock on a one-to-one basis.
- F3These shares include 426 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.
- F4These non-qualified stock options are exercisable in three installments of 33%, 33% and 34% on 5/1/2019, 5/1/2020 and 5/1/2021, respectively.