SEC Form 4 · accession 0001127602-18-015842
AMGEN INC · AMGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cynthia M Patton
Officer — SVP & CCO
Period of report
Apr 27, 2018
Accepted (ET)
May 1, 2018 · 7:19 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 | Apr 27, 2018 | A | 901 | $0.00 | A | 24,325 | D | |
| Common StockF4 | holding | — | — | — | 255 | 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 | $177.46 | Apr 27, 2018 | A | 6,940 | A | Apr 27, 2020 | Apr 27, 2028 | Common Stock | 6,940 | 6,940 | D |
Explanation of responses
- F1The Restricted Stock Units (RSUs) were granted pursuant to the Amgen Inc. 2009 Equity Incentive Plan and vest in three annual installments of 33%, 33% and 34% on 4/27/2020, 4/27/2021 and 4/27/2022, respectively.
- F2These shares include the following RSUs granted under the Company's equity plans: 313 RSUs which vest in one installment on 1/30/2019; 1,023 RSUs which vest in one installment of 337 on 5/3/2018, one installment of 338 on 5/3/2019 and one installment of 348 on 5/3/2020; and 984 RSUs which vest in installments of 324 on 5/1/2019, 325 on 5/1/2020 and 335 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 108 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 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 4/27/2020, 4/27/2021 and 4/27/2022, respectively.