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AMGEN INC — Director's Dealing 2021
May 5, 2021
29819_dirs_2021-05-04_fda8c340-cf1b-4cb5-924f-60cb440ce525.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: Johnston Lori A (EVP, HR)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-04-30 | Common Stock | A | 3296 | — | Acquired | 38055 | Direct |
| 2021-05-01 | Common Stock | F | 355 | $239.64 | Disposed | 37700 | Direct |
| 2021-05-03 | Common Stock | F | 335 | $239.64 | Disposed | 37365 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-04-30 | Nqso (Right to Buy) | $239.64 | A | 28623 | Acquired | 2031-04-30 | Common Stock (28623) | 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: 690 RSUs which will vest on 4/27/2022; 1,361 RSUs which will vest in installments of 670 on 5/3/2022 and 691 on 5/3/2023; 7,799 RSUs which will vest in installments of 2,573 on 11/1/2021, 2,574 on 11/1/2022 and 2,652 on 11/1/2023; 2,961 RSUs which vest in two installments of 977 on 5/5/2022 and 5/5/2023, and one installment of 1,007 on 5/5/2024; and 3,296 RSUs which vest in installments of 1,087 on 4/30/2023, 1,088 on 04/30/2024 and 1,121 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 564 Dividend Equivalents (DEs) granted pursuant to the Amgen Inc. 2009 Amended and Restated 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 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.