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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Nqso (Right to Buy) | $ 177.46 | 04/27/2018 | A | 34,702 | 04/27/2020(4) | 04/27/2028 | Common Stock | 34,702 | $ 0 | 34,702 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HOOPER ANTHONY C ONE AMGEN CENTER DRIVE THOUSAND OAKS, CA 91320-1799 |
EVP, Global Commercial Ops. |
/s/ Anthony C. Hooper | 05/01/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | 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 4/27/2020, 4/27/2021 and 4/27/2022, respectively. |
(2) | These shares include the following RSUs granted under the Company's equity plans: 1,563 RSUs which vest in one installment on 1/30/2019; 5,116 RSUs which vest in two equal installments of 1,688 on 5/3/2018 and 5/3/2019 and one installment of 1,740 on 5/3/2020; and 4,920 RSUs which vest in installments of 1,623 on 5/1/2019, 1,624 on 5/1/2020 and 1,673 on 5/1/2021. Vested RSUs will be paid in shares of the Company's common stock on a one-to-one basis. |
(3) | These shares include 540 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. |
(4) | These non-qualified stock options are exercisable in three installments of 33%, 33% and 34% on 4/27/2020, 4/27/2021 and 4/27/2022, respectively. |