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AMGEN INC — Director's Dealing 2020
May 8, 2020
29819_dirs_2020-05-07_8967d5c1-7593-4f13-9cc5-da0e0a4a2e48.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: Patton Cynthia M (SVP & CCO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-05-05 | Common Stock | A | 676 | — | Acquired | 24751 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-05-05 | Nqso (Right to Buy) | $236.36 | A | 5668 | Acquired | 2030-05-05 | Common Stock (5668) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 270.044 | 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 5/5/2022, 5/5/2023 and 5/5/2024, respectively.
F2: These shares include the following RSUs granted under the Company's equity plans: 335 RSUs which vest on 5/1/2021; 604 RSUs which vest in installments of 297 on 4/27/2021 and 307 on 4/27/2022; 902 RSUs which will vest in installments of 297 on 5/3/2021, 298 on 5/3/2022 and 307 on 5/3/2023; and 676 RSUs which vest in two installments of 223 on 5/5/2022 and 5/5/2023, and one installment of 230 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 93 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.
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 5/5/2022, 5/5/2023 and 5/5/2024, respectively.