AI assistant
AMGEN INC — Director's Dealing 2021
May 5, 2021
29819_dirs_2021-05-04_5696b9f3-ebf6-4e73-bb46-e4bba0b3ecce.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: AMGEN INC (AMGN)
CIK: 0000318154
Period of Report: 2021-04-30
Reporting Person: Grygiel Nancy A. (SVP & CCO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-04-30 | Common Stock | A | 584 | — | Acquired | 12578 | Direct |
| 2021-05-01 | Common Stock | F | 62 | $239.64 | Disposed | 12516 | Direct |
| 2021-05-03 | Common Stock | F | 55 | $239.64 | Disposed | 12461 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-04-30 | Nqso (Right to Buy) | $239.64 | A | 5072 | Acquired | 2031-04-30 | Common Stock (5072) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 90.6825 | 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 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: 153 RSUs which will vest on 4/27/2022; 303 RSUs which vest in installments of 149 on 5/3/2022 and 154 on 5/3/2023; 423 RSUs which vest in installments of 139 on 5/5/2022, 140 on 5/5/2023 and 144 on 5/5/2024; 8,174 RSUs which will vest in two installments of 2,697 on 7/31/2022 and 7/31/2023 and one installment of 2,780 on 7/31/2024; and 584 RSUs which vest in installments of 192 on 4/30/2023, 193 on 4/30/2024 and 199 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 221 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 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 4/30/2023, 4/30/2024 and 4/30/2025, respectively.