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AMGEN INC — Director's Dealing 2020
Jul 30, 2020
29819_dirs_2020-07-29_2718a32d-e19e-4b37-994e-1f10373c70d4.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: AMGEN INC (AMGN)
CIK: 0000318154
Period of Report: 2020-07-23
Reporting Person: Louie Linda H. (VP, Finance & CAO)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 6175 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Nqso (Right to Buy) | $156.35 | 2026-05-03 | Common Stock (370) | Direct | |
| Nqso (Right to Buy) | $162.60 | 2027-05-01 | Common Stock (1633) | Direct | |
| Nqso (Right to Buy) | $177.46 | 2028-04-27 | Common Stock (1301) | Direct | |
| Nqso (Right to Buy) | $177.31 | 2029-05-03 | Common Stock (1723) | Direct | |
| Nqso (Right to Buy) | $236.36 | 2030-05-05 | Common Stock (1417) | Direct |
Footnotes
F1: These shares include the following Restricted Stock Units (RSUs) granted under the Company's equity plans: 63 RSUs which fully vest on 5/1/2021; 114 RSUs which vest in two installments of 56 on 4/27/2021 and 58 on 4/27/2022; 197 RSUs which vest in two installments of 65 on 5/3/2021 and 5/3/2022 and one installment of 67 on 5/3/2023; and 169 RSUs which vest in installments of 55 on 5/5/2022, 56 on 5/5/2023 and 58 on 5/5/2024. Vested RSUs will be paid in shares of the Company's common stock on a one-to-one basis.
F2: These shares include 22 Dividend Equivalents (DEs) granted pursuant to the Amgen Inc. 2009 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.
F3: 370 non-qualified stock options have vested and are exercisable.
F4: 1,077 of these non-qualified stock options have vested and are exercisable and 556 of these options will vest and become exercisable on 5/1/2021.
F5: 429 of these non-qualified stock options have vested and are exercisable and the remaining options will vest and become exercisable in installments of 429 on 4/27/2021 and 443 on 4/27/2022.
F6: These non-qualified stock options will vest and become exercisable in three installments of 568 on 5/3/2021, 569 on 5/3/2022 and 586 on 5/3/2023.
F7: These non-qualified stock options will vest and become exercisable in three installments of 467 on 5/5/2022, 468 on 5/5/2023 and 482 on 5/5/2024.