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AMGEN INC — Director's Dealing 2017
May 3, 2017
29819_dirs_2017-05-03_3949ca08-a073-4e68-952d-2880884be618.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: 2017-05-01
Reporting Person: Patton Cynthia M (SVP & CCO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-05-01 | Common Stock | A | 984 | — | Acquired | 24560 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-05-01 | Nqso (Right to Buy) | $162.60 | A | 8714 | Acquired | 2027-05-01 | Common Stock (8714) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 248.1599 | Indirect |
Footnotes
F1: The Restricted Stock Units (RSUs) were granted pursuant to the Amgen Inc. 2009 Equity Incentive Plan and vest in three annual installments of 33%, 33% and 34% on 5/1/2019, 5/1/2020 and 5/1/2021, respectively.
F2: These shares include the following Restricted Stock Units (RSUs) granted under the Company's equity plans: 372 RSUs which vest on 1/31/2018; 616 shares which vest in one installment of 303 on 1/30/2018 and one installment of 313 on 1/30/2019; 1,023 RSUs which vest in one installment of 337 on 5/3/2018, one installment of 338 on 5/3/2019 and one installment of 348 on 5/3/2020; and 984 RSUs which vest in installments of 324 on 5/1/2019, 325 on 5/1/2020 and 335 on 5/1/2021. Vested RSUs will be paid in shares of the Company's common stock on a one-to-one basis.
F3: These shares include 87 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 5/1/2019, 5/1/2020 and 5/1/2021, respectively.