SEC Form 4 · accession 0001127602-19-010660
AMGEN INC · AMGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Esteban Santos
Officer — EVP, Operations
Period of report
Mar 6, 2019
Accepted (ET)
Mar 8, 2019 · 7:46 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 StockF1,F2 | Mar 6, 2019 | A | 3,676 | $0.00 | A | 37,843 | D | |
| Common StockF3 | holding | — | — | — | 728 | 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: 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. These shares also include RSUs which vested on January 30, 2019, as reported on a Form 4 filed by the reporting person with the SEC on February 1, 2019. Vested RSUs will be paid in shares of the Company's common stock on a one-to-one basis.
- F2These shares include 820 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.