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AMGEN INC — Director's Dealing 2019
May 8, 2019
29819_dirs_2019-05-07_4d66cb5e-d998-4d05-8b8b-3dd7a919b814.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: 2019-05-03
Reporting Person: Santos Esteban (EVP, Operations)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-05-03 | Common Stock | F | 182 | $176.50 | Disposed | 35382 | Direct |
| 2019-05-03 | Common Stock | A | 3947 | — | Acquired | 39329 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-05-03 | Iso (Right to Buy) | $177.31 | A | 34460 | Acquired | 2029-05-03 | Common Stock (34460) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 733.5988 | Indirect |
Footnotes
F1: The Restricted Stock Units (RSUs) were granted pursuant to the Amgen Inc. 2009 Amended and Restated Equity Incentive Plan and vest in three installments of 33%, 33% and 34% on 5/3/2021, 5/3/2022 and 5/3/2023, respectively.
F2: These shares include the following RSUs granted under the Company's equity plans: 348 RSUs which vest 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; 2,308 RSUs which vest in installments of 1,137 on 5/1/2020 and 1,171 on 5/1/2021; 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; and 3,947 RSUs which will vest in installments of 1,302 on 5/3/2021, 1,303 on 5/3/2022 and 1,342 on 5/3/2023. Vested RSUs will be paid in shares of the Company's common stock on a one-to-one basis.
F3: These shares include 853 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.
F4: These shares are 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 5/3/2021, 5/3/2022 and 5/3/2023, respectively.