SEC Form 4 · accession 0001209191-15-001080
REGENERON PHARMACEUTICALS, INC. · REGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Leonard S Schleifer
Officer — President & CEO · Director
Period of report
Jan 2, 2015
Accepted (ET)
Jan 5, 2015 · 4:56 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000872589
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 2, 2015 | C | 1,500 | $0.00 | A | 1,500 | I | by Trust for Son |
| Common StockF2 | Jan 2, 2015 | S | 397 | $408.64 | D | 1,103 | I | by Trust for Son |
| Common StockF3 | Jan 2, 2015 | S | 300 | $409.28 | D | 803 | I | by Trust for Son |
| Common StockF4 | Jan 2, 2015 | S | 403 | $410.47 | D | 400 | I | by Trust for Son |
| Common StockF5 | Jan 2, 2015 | S | 200 | $412.23 | D | 200 | I | by Trust for Son |
| Common Stock | Jan 2, 2015 | S | 100 | $413.88 | D | 100 | I | by Trust for Son |
| Common Stock | Jan 2, 2015 | S | 100 | $416.00 | D | 0 | I | by Trust for Son |
| Common Stock | holding | — | — | — | 5,650 | I | By 401(k) Plan | |
| Common Stock | holding | — | — | — | 42,087 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class A StockF6,F7 | $0.00 | Jan 2, 2015 | C | 1,500 | D | — | — | Common Stock | 1,500 | 15,775 | I |
| Class A StockF6,F7 | $0.00 | holding | — | — | — | — | — | Common Stock | 1,710,790 | 1,710,790 | D |
Explanation of responses
- F1Disposition/acquisition made pursuant to a plan intended to comply with Rule 10b5-1(c).
- F2Represents volume-weighted average price of sales of 397 shares of Company stock on January 2, 2015 at prices ranging from $408.33 to $408.91. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on January 2, 2015 at each separate price.
- F3Represents volume-weighted average price of sales of 300 shares of Company stock on January 2, 2015 at prices ranging from $409.13 to $409.49. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on January 2, 2015 at each separate price.
- F4Represents volume-weighted average price of sales of 403 shares of Company stock on January 2, 2015 at prices ranging from $410.07 to $410.89. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on January 2, 2015 at each separate price.
- F5Represents volume-weighted average price of sales of 200 shares of Company stock on January 2, 2015 at prices ranging from $412.13 to $412.33. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on January 2, 2015 at each separate price.
- F6Class A Stock of Regeneron Pharmaceuticals, Inc. ("Regeneron") converts to Common Stock of Regeneron on a one-to-one basis upon certain events or upon election of the shareholder.
- F7These shares of Class A Stock are presently convertible and such conversion feature does not expire.