Securities Registration: Employee Benefit Plan (s-8)
March 15 2017 - 5:11PM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on March 15, 2017
Registration No. 333-
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM S-8
REGISTRATION STATEMENT
UNDER
THE
SECURITIES ACT OF 1933
AMGEN INC.
(Exact Name
of Registrant as Specified in Its Charter)
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Delaware
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95-3540776
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(State or Other Jurisdiction of
Incorporation or Organization)
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(IRS Employer
Identification Number)
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One Amgen Center Drive
Thousand Oaks, California 91320-1799
(805) 447-1000
(Address
of Principal Executive Offices including Zip Code)
AMENDED AND
RESTATED AMGEN RETIREMENT AND SAVINGS PLAN
(F/K/A AMGEN RETIREMENT AND SAVINGS PLAN)
(Full Title of the Plan)
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Jonathan P. Graham, Esq.
Senior Vice President, General Counsel and Secretary
One Amgen Center Drive
Thousand Oaks, California 91320-1799
(805) 447-1000
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Copy to:
Charles K. Ruck, Esq.
Regina Schlatter, Esq.
Latham & Watkins LLP
650 Town Center Drive, Twentieth Floor
Costa Mesa, California 92626-1925
(714) 540-1235
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(Name and Address, Including Zip Code and Telephone Number, Including Area Code, of Agent for Service)
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See
the definitions of large accelerated filer, accelerated filer or a smaller reporting company in Rule 12-b2 of the Exchange Act.
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Large accelerated filer
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☒
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Accelerated filer
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☐
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Non-accelerated filer
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☐ (Do not check if smaller reporting company.)
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Smaller reporting company
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☐
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CALCULATION OF REGISTRATION FEE
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Title of Securities
to be Registered
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Amount to be
Registered (1)
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Proposed
Maximum
Offering Price
Per Share
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Proposed
Maximum
Aggregate
Offering Price (2)
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Amount of
Registration Fee(2)
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Common Stock, par value $0.0001 per share
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1,000,000
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$178.10
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$178,100,000
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$20,641.79
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(1)
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1,000,000 shares of common stock, par value $0.0001 per share (the Common Stock) of Amgen Inc., a Delaware corporation, are being registered hereunder. Such number represents shares that may be purchased in
the open market pursuant to the Amended and Restated Amgen Retirement and Savings Plan (f/k/a Amgen Retirement and Savings Plan) (the Plan). Pursuant to Rule 416(c) under the Securities Act of 1933, as amended (the Securities
Act), this Registration Statement also covers an indeterminate amount of interests to be offered or sold pursuant to the Plan. In addition, pursuant to Rule 416(a) under the Securities Act, this Registration Statement shall automatically cover
any additional shares of Common Stock that become purchasable under the Plan by reason of any stock dividend, stock split or other similar transaction.
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(2)
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Estimated solely for the purpose of calculating the registration fee pursuant to Rule 457(h) and (c) under the Securities Act. The price per share and aggregate offering price for the shares of Common Stock are
calculated on the basis of the average of the high and low trading prices of the Common Stock, as reported on the NASDAQ Global Select Market on March 9, 2017.
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Proposed issuances to commence as soon after the effective date of this Registration Statement as practicable.
INTRODUCTION
REGISTRATION OF ADDITIONAL SECURITIES
Amgen Inc. (referred to herein as our, we, us, the Company or the Registrant) has
previously registered 4,800,000 shares of Common Stock, after giving effect to stock splits, that may be purchased under the Plan by a Registration Statement on Form S-8 filed with the Securities and Exchange Commission (the Commission)
on February 25, 1991 (File No. 33-39104), as amended and an additional 2,500,000 shares of Common Stock, after giving effect to stock splits, that may be purchased under the Plan by a Registration Statement on Form S-8 filed with the
Commission on July 13, 2007 (File No. 333-144581), (collectively the Prior Registration Statements). Under this Registration Statement, the Company is registering an additional 1,000,000 shares of Common Stock that may be
acquired under the Plan. Pursuant to General Instructions E to Form S-8, the content of the Prior Registration Statements is incorporated by reference herein to the extent not modified or superseded hereby or by any subsequently filed document that
is incorporated by reference herein or therein.
PART I
INFORMATION REQUIRED IN THE SECTION 10(a) PROSPECTUS
We are not filing with or including in this Form S-8 the information called for in Part I of Form S-8 (by incorporation by reference
or otherwise) in accordance with the rules and regulations of the Commission.
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
See Index to Exhibits on page 6.
The Registrant previously received a determination letter from the Internal Revenue Service (the IRS), dated September 18,
2013, certifying that the Plan was qualified, in form, under Section 401(a) of the Internal Revenue Code, as amended (the Code) and, therefore, the related trust is exempt from taxation under Section 401 of the Code. On
January 31, 2017, the Company submitted an application to the IRS for a new determination letter with respect to the Plan, as amended since the date of the prior determination letter. The Company hereby undertakes that it has submitted the Plan
and any amendments thereto to the IRS and has made or will make all changes required by the IRS in order to continue to maintain qualification of the Plan.
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SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, the Registrant certifies that it has reasonable grounds to believe
that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Thousand Oaks, State of California, on the 15
th
day of March, 2017.
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AMGEN INC.
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By:
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/s/ Robert A. Bradway
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Robert A. Bradway
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Chairman of the Board, Chief Executive Officer and President
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POWER OF ATTORNEY
KNOW ALL MEN AND WOMEN BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Robert A. Bradway, David W.
Meline and Jonathan P. Graham, or any of them, his or her attorney-in-fact, each with the power of substitution, for him or her in any and all capacities, to sign any amendments to this Registration Statement, and to file the same, with exhibits
thereto and other documents in connection therewith, with the Securities and Exchange Commission, hereby ratifying and confirming all that each of said attorneys-in-fact, or his or her substitute or substitutes, may do or cause to be done by virtue
hereof.
Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed below by the following
persons on behalf of the registrant and in the capacities and on the dates indicated:
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Signature
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Title
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Date
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/s/ Robert A. Bradway
Robert A. Bradway
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Chairman of the Board, Chief Executive Officer and President
(Principal Executive Officer)
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March 15, 2017
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/s/ David W. Meline
David W. Meline
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Chief Financial Officer
(Principal Financial
Officer)
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March 15, 2017
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/s/ Annette L. Such
Annette L. Such
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Vice President, Finance and Chief Accounting Officer
(Principal Accounting Officer)
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March 15, 2017
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/s/ David Baltimore
David Baltimore
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Director
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March 15, 2017
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/s/ Frank J. Biondi, Jr.
Frank J. Biondi, Jr.
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Director
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March 15, 2017
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/s/ François de Carbonnel
François de Carbonnel
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Director
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March 15, 2017
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3
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/s/ Robert A. Eckert
Robert A. Eckert
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Director
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March 15, 2017
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/s/ Greg C. Garland
Greg C. Garland
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Director
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March 15, 2017
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/s/ Fred Hassan
Fred Hassan
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Director
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March 15, 2017
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/s/ Rebecca M. Henderson
Rebecca M. Henderson
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Director
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March 15, 2017
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/s/ Frank C. Herringer
Frank C. Herringer
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Director
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March 15, 2017
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/s/ Tyler Jacks
Tyler Jacks
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Director
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March 15, 2017
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/s/ Ellen J. Kullman
Ellen J. Kullman
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Director
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March 15, 2017
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/s/ Judith C. Pelham
Judith C. Pelham
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Director
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March 15, 2017
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/s/ Ronald D. Sugar
Ronald D. Sugar
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Director
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March 15, 2017
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/s/ R. Sanders Williams
R. Sanders Williams
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Director
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March 15, 2017
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SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, the trustee (or other persons who administer the Plan) has duly caused
this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Thousand Oaks, State of California, on this 15
th
day of March, 2017.
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AMENDED AND RESTATED AMGEN
RETIREMENT AND SAVINGS PLAN
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By:
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AMGEN INC.
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Plan Administrator
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By:
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/s/ Robert A. Bradway
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Robert A. Bradway
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Chairman of the Board, Chief
Executive
Officer and President
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5
INDEX TO EXHIBITS
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NUMBER
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DESCRIPTION
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4.1
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Restated Certificate of Incorporation of Amgen Inc. (As Restated March 6, 2013.) (Filed as an exhibit to Form 10-Q for the quarter ended March 31, 2013 on May 3, 2013 and incorporated herein by reference.)
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4.2
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Amended and Restated Bylaws of Amgen Inc. (As Amended and Restated February 15, 2016). (Filed as an exhibit to Form 8-K on February 17, 2016 and incorporated herein by reference.)
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4.3
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Form of stock certificate for the common stock, par value $0.0001 of Amgen Inc. (Filed as an exhibit to Form 10-Q for the quarter ended March 31, 1997 on May 13, 1997 and incorporated herein by reference.)
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5.1*
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Determination letter from the Internal Revenue Service, dated September 18, 2013.
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23.1*
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Consent of Independent Registered Public Accounting Firm.
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24.1*
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Power of Attorney (included on signature page to Registration Statement).
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