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AMGEN INC — Director's Dealing 2020
Mar 11, 2020
29819_dirs_2020-03-10_77c1304d-1510-4a6b-b019-df1721f695ba.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: 2020-03-09
Reporting Person: REESE DAVID M (EVP, Research and Development)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-03-09 | Common Stock | M | 1480 | $58.43 | Disposed | 41765 | Direct |
| 2020-03-09 | Common Stock | F | 780 | $210.65 | Disposed | 40985 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-03-09 | Nqso (Right to Buy) | $58.43 | M | 1480 | Acquired | 2020-04-26 | Common Stock (1480) | Direct |
Footnotes
F1: Non-market exercise of 1,480 stock options expiring April 26, 2020 wherein 780 shares issuable pursuant to the exercise of these options were withheld by the Company to cover the option exercise price and tax withholding, with the remaining shares delivered to the reporting person.
F2: These shares include the following RSUs granted under the Company's equity plans: 348 RSUs which vest on 5/3/2020; 3,297 RSUs which vest in installments of 1,624 on 5/1/2020 and 1,673 on 5/1/2021; 660 RSUs which vest in installments of 325 on 5/1/2020 and 335 on 5/1/2021; 1,014 RSUs which vest in installments of 334 on 4/27/2020, 335 on 4/27/2021 and 345 on 4/27/2022; 12,830 RSUs which vest in installments of 4,233 on 11/2/2020 4,234 on 11/2/2021 and 4,363 on 11/2/2022; and 4,511 RSUs which will vest in installments of 1,488 on 5/3/2021, 1,489 on 5/3/2022 and 1,534 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 978 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.