SEC Form 4 · accession 0001127602-18-035029
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
Nov 29, 2018
Accepted (ET)
Dec 3, 2018 · 8:11 pm EST
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 Stock | Nov 29, 2018 | M | 1,777 | $54.69 | A | 23,090 | D | |
| Common StockF1,F2,F3 | Nov 29, 2018 | S | 1,777 | $202.8812 | D | 21,313 | D | |
| Common StockF4 | holding | — | — | — | 258 | 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) | $54.69 | Nov 29, 2018 | M | 1,777 | D | Apr 25, 2013 | Apr 25, 2021 | Common Stock | 1,777 | 0 | D |
Explanation of responses
- F1The price reported is an average price. The prices ranged from $202.19 to $203.59 per share for this cashless exercise of 1,777 stock options expiring April 25, 2021. Full information regarding the number of shares sold at each separate price within the range set forth above is available upon request by the SEC staff, the issuer or a security holder of the issuer.
- F2These 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; 984 RSUs which vest in installments of 324 on 5/1/2019, 325 on 5/1/2020 and 335 on 5/1/2021; and 901 RSUs which vest in installments of 297 on 4/27/2020, 297 on 4/27/2021 and 307 on 4/27/2022. Vested RSUs will be paid in shares of the Company's common stock on a one-to-one basis.
- F3These shares include 131 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.