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AMGEN INC — Director's Dealing 2016
May 5, 2016
29819_dirs_2016-05-05_ff44d219-2b47-4416-ab60-420beb8609ca.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: AMGEN INC (AMGN)
CIK: 0000318154
Period of Report: 2016-05-03
Reporting Person: Patton Cynthia M (SVP & CCO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-05-03 | Common Stock | A | 1023 | — | Acquired | 21901 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-05-03 | Nqso (Right to Buy) | $156.35 | A | 8711 | Acquired | 2026-05-03 | Common Stock (8711) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 241.8647 | Indirect |
Footnotes
F1: The Restricted Stock Units (RSUs) were granted pursuant to the Amgen Inc. 2009 Equity Incentive Plan and vest in three installments of 33%, 33% and 34% on 5/3/2018, 5/3/2019 and 5/3/2020, respectively.
F2: These shares include the following RSUs granted under the Company's equity plans: 1,843 RSUs which vest on 10/26/2016; 716 RSUs which vest on 1/28/2017; 732 RSUs which vest in one installment of 360 on 1/31/2017 and one installment of 372 on 1/31/2018; 919 shares that vest in two equal installments of 303 on 1/30/2017 and 1/30/2018 and one installment of 313 on 1/30/2019; and 1,023 shares that vest in installments of 337 on 5/3/2018, 338 on 5/3/2019 and 348 on 5/3/2020. Vested RSUs will be paid in shares of the Company's common stock on a one-to-one basis.
F3: These shares include 236 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.
F4: These are shares acquired under the Company's 401(k) Plan and represent interests in the Company's stock fund as of this filing.
F5: These non-qualified stock options are exercisable in three installments of 33%, 33% and 34% on 5/3/2018, 5/3/2019 and 5/3/2020, respectively.