SEC Form 4 · accession 0001127602-18-035030
AMGEN INC · AMGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Piacquad
Officer — SVP, Business Development
Period of report
Nov 30, 2018
Accepted (ET)
Dec 3, 2018 · 8:13 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 30, 2018 | M | 6,500 | $54.69 | A | 45,128 | D | |
| Common StockF1,F2,F3 | Nov 30, 2018 | F | 4,109 | $202.37 | D | 41,019 | 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) | $54.69 | Nov 30, 2018 | M | 6,500 | D | Apr 25, 2013 | Apr 25, 2021 | Common Stock | 6,500 | 0 | D |
Explanation of responses
- F1Non-market exercise of 6,500 stock options expiring April 25, 2021 wherein 4,109 shares issuable pursuant to the exercise of these options were withheld by the Company to cover the option exercise price and tax withholding, with the remaining shares delivered to the reporting person.
- F2These shares include the following Restricted Stock Units (RSUs) granted under the Company's equity plans: 357 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 957 RSUs which vest in installments of 315 on 4/27/2020, 316 on 4/27/2021 and 326 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 136 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 amount.