SEC Form 4 · accession 0001127602-18-024509
AMGEN INC · AMGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Esteban Santos
Officer — EVP, Operations
Period of report
Aug 1, 2018
Accepted (ET)
Aug 2, 2018 · 6:39 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 | Aug 1, 2018 | F | 1,982 | $196.55 | D | 34,654 | D | |
| Common StockF3 | holding | — | — | — | 718 | I | 401K Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares include the following RSUs granted under the Company's equity plans: 313 RSUs which vest in one installment on 1/30/2019; 686 RSUs which vest in one installment of 338 on 5/3/2019 and one installment of 348 on 5/3/2020; 7,694 RSUs which vest in one installment of 3,789 on 8/1/2019 and one installment of 3,905 on 8/1/2020; 3,444 RSUs which vest in installments of 1,136 on 5/1/2019, 1,137 on 5/1/2020 and 1,171 on 5/1/2021; and 3,155 RSUs which vest in two equal installments of 1,041 on 4/27/2020 and 4/27/2021 and 1,073 on 4/27/2022. Vested RSUs will be paid in shares of the Company's common stock on a one-to-one basis.
- F2These shares include 656 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 to 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.
- F3These shares are acquired under the Company's 401(k) Plan and represent interests in the Company's stock fund as of this filing.