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AMGEN INC — Director's Dealing 2021
May 5, 2021
29819_dirs_2021-05-04_554560da-84c2-4d96-9a07-cf2f73e94558.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: 2021-04-30
Reporting Person: REESE DAVID M (EVP, Research and Development)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-04-30 | Common Stock | A | 4006 | — | Acquired | 46326 | Direct |
| 2021-05-01 | Common Stock | F | 1109 | $239.64 | Disposed | 45217 | Direct |
| 2021-05-03 | Common Stock | F | 745 | $239.64 | Disposed | 44472 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-04-30 | Nqso (Right to Buy) | $239.64 | A | 34782 | Acquired | 2031-04-30 | Common Stock (34782) | Direct |
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 annual installments of 33%, 33% and 34% on 4/30/2023, 4/30/2024 and 4/30/2025, respectively.
F2: These shares include the following RSUs granted under the Company's equity plans: 345 RSUs which will vest on 4/27/2022; 8,597 RSUs which vest in installments of 4,234 on 11/2/2021 and 4,363 on 11/2/2022; 3,023 RSUs which will vest in installments of 1,489 on 5/3/2022 and 1,534 on 5/3/2023; 3,469 RSUs which vest in installments of 1,144 on 5/5/2022, 1,145 on 5/5/2023 and 1,180 on 5/5/2024; and 4,006 RSUs which vest in
installments of 1,321 on 4/30/2023, 1,322 on 4/30/2024 and 1,363 on 4/30/2025. Vested RSUs will be paid in shares of the Company's common stock on a one-to-one basis.
F3: These shares include 953 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 non-qualified stock options are exercisable in three installments of 33%, 33% and 34% on 4/30/2023, 4/30/2024 and 4/30/2025, respectively.