FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 07/26/2018 |
3. Issuer Name and Ticker or Trading Symbol
AMGEN INC [ AMGN ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 17,732(1)(2) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Nqso (Right to Buy) | 04/26/2012(3) | 04/26/2020 | Common Stock | 1,480 | $58.43 | D | |
Nqso (Right to Buy) | 04/25/2013(4) | 04/25/2021 | Common Stock | 2,300 | $54.69 | D | |
Nqso (Right to Buy) | 05/03/2018(5) | 05/03/2026 | Common Stock | 8,711 | $156.35 | D | |
Nqso (Right to Buy) | 05/01/2019(6) | 05/01/2027 | Common Stock | 8,714 | $162.6 | D | |
Nqso (Right to Buy) | 04/27/2020(7) | 04/27/2028 | Common Stock | 7,807 | $177.46 | D |
Explanation of Responses: |
1. These shares include the following Restricted Stock Units (RSUs) granted under the Company's equity plans: 313 RSUs which vest fully in one installment on 1/30/2019; 686 RSUs which vest in installments of 338 and 348 on 5/3/2019 and 5/3/2020, respectively; 4,920 RSUs which vest in installments of 1,623, 1,624 and 1,673 on 5/1/2019, 5/1/2020 and 5/1/2021, respectively; 984 RSUs which vest in installments of 324, 325 and 335 on 5/1/2019, 5/1/2020 and 5/1/2021, respectively; and 1,014 RSUs which vest in installments of 334, 335 and 345 on 4/27/2020, 4/27/2021 and 4/27/2022, respectively. |
2. These shares include 282 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 options were fully exercisable on 4/26/2014. |
4. These options were fully exercisable on 4/25/2015. |
5. 2,874 of these options have vested and the remainder are exercisable in two installments of 2,875 and 2,962 on 5/3/2019 and 5/3/2020, respectively. |
6. These stock options are exercisable in three annual installments of 33%, 33% and 34% on 5/1/2019, 5/1/2020 and 5/1/2021, respectively. |
7. These stock options are exercisable in three annual installments of 33%, 33% and 34% on 4/27/2020, 4/27/2021 and 4/27/2022, respectively. |
/s/ David M. Reese | 08/02/2018 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |