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AMGEN INC — Director's Dealing 2020
May 8, 2020
29819_dirs_2020-05-07_363d2d65-2f62-4300-80cc-8aa50362b6a3.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: 2020-05-05
Reporting Person: Santos Esteban (EVP, Operations)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-05-05 | Common Stock | A | 3384 | — | Acquired | 46433 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-05-05 | Nqso (Right to Buy) | $236.36 | A | 28341 | Acquired | 2030-05-05 | Common Stock (28341) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 755.2281 | 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 5/5/2022, 5/5/2023 and 5/5/2024, respectively.
F2: These shares include the following RSUs granted under the Company's equity plans: 3,905 RSUs which vest on 8/1/2020; 1,171 RSUs which vest on 5/1/2021; 2,114 RSUs which vest in installments of 1,041 on 4/27/2021 and 1,073 on 4/27/2022; 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; and 3,384 RSUs which vest in installments of 1,116 on 5/5/2022, 1,117 on 5/5/2023 and 1,151 on 5/5/2024. Vested RSUs will be paid in shares of the Company's common stock on a one-to-one basis.
F3: These shares include 774 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 5/5/2022, 5/5/2023 and 5/5/2024, respectively.