Statement of Changes in Beneficial Ownership (4)
August 03 2020 - 6:48PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
Santos Esteban |
2. Issuer Name and Ticker or Trading Symbol
AMGEN INC
[
AMGN
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
EVP, Operations |
|
(Last)
(First)
(Middle)
ONE AMGEN CENTER DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/1/2020 |
|
(Street)
THOUSAND OAKS, CA 91320-1799
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
| Common Stock | 8/1/2020 | | F | | 2165 | D | $244.67 | 44376 (1)(2) | D | |
| Common Stock | | | | | | | | 760.634 (3) | I | 401K Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security
(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) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | These shares include the following Restricted Stock Units (RSUs) granted under the Company's equity plans: 1,171 RSUs which vest on 5/1/2021; 2,114 RSUs which vest in installments of 1,041 on 4/27/2021 and 1,073 on 4/27/2022; 3,947 RSUs which vest in installments of 1,302 on 5/3/2021, 1,303 on 5/3/2022 and 1,342 on 5/3/2023; and 3,384 RSUs which vest in installments of 1,116 on 5/5/2022, 1,117 on 5/5/2023 and 1,151 on 5/5/2024. Vested RSUs will be paid in shares of the Company's common stock on a one-to-one basis. |
| (2) | These shares include 424 Dividend Equivalents (DEs) granted pursuant to the Amgen Inc. Amended and Restated 2009 Equity Incentive Plan and subject to a qualifying dividend reinvestment plan. DEs are credited to 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. |
| (3) | These shares are acquired under the Company's 401(k) Plan and represent interests in the Company's stock fund as of this filing. |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Santos Esteban
ONE AMGEN CENTER DRIVE
THOUSAND OAKS, CA 91320-1799 |
|
| EVP, Operations |
|
Signatures
|
| /s/ Andrea A. Robinson, Attorney-in-Fact for Mr. Santos | | 8/3/2020 |
| **Signature of Reporting Person | Date |
Amgen (NASDAQ:AMGN)
Historical Stock Chart
From Mar 2024 to Apr 2024
Amgen (NASDAQ:AMGN)
Historical Stock Chart
From Apr 2023 to Apr 2024
