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AMGEN INC — Director's Dealing 2023
May 5, 2023
29819_dirs_2023-05-04_e3cfab2e-c3e5-4d3c-b8dc-cd8e5deb670c.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: 2023-05-02
Reporting Person: Grygiel Nancy A. (SVP & CCO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-05-02 | Common Stock | A | 635 | — | Acquired | 14340 | Direct |
| 2023-05-03 | Common Stock | F | 62 | $235.97 | Disposed | 14278 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-05-02 | Nqso (Right to Buy) | $235.97 | A | 5375 | Acquired | 2033-05-02 | Common Stock (5375) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 96.6422 | 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 5/2/2025, 5/2/2026 and 5/2/2027, respectively.
F2: These shares include the following RSUs granted under the Company's equity plans: 284 RSUs which will vest in installments of 140 on 5/5/2023 and 144 on 5/5/2024; 5,477 RSUs which will vest in installments of 2,697 on 7/31/2023 and 2,780 on 7/31/2024; 392 RSUs which will vest in installments of 193 on 4/30/2024 and 199 on 4/30/2025; 468 RSUs which will vest on 11/5/2023; 649 RSUs which will vest in two installments of 214 on 5/2/2024 and 5/2/2025, and one installment of 221 on 5/2/2026; and 635 RSUs which will vest in installments of 209 on 5/2/2025, 210 on 5/2/2026 and 216 on 5/2/2027. Vested RSUs will be paid in shares of the Company's common stock on a one-to-one basis.
F3: These shares include 584 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 5/2/2025, 5/2/2026 and 5/2/2027, respectively.