| 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)
| 2. Date of Event Requiring Statement (Month/Day/Year) 07/23/2020 | 3. Issuer Name and Ticker or Trading Symbol AMGEN INC [ AMGN ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
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 | 6,175(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) | 05/03/2018(3) | 05/03/2026 | Common Stock | 370 | 156.35 | D | |
| Nqso (Right to Buy) | 05/01/2019(4) | 05/01/2027 | Common Stock | 1,633 | 162.6 | D | |
| Nqso (Right to Buy) | 04/27/2020(5) | 04/27/2028 | Common Stock | 1,301 | 177.46 | D | |
| Nqso (Right to Buy) | 05/03/2021(6) | 05/03/2029 | Common Stock | 1,723 | 177.31 | D | |
| Nqso (Right to Buy) | 05/05/2022(7) | 05/05/2030 | Common Stock | 1,417 | 236.36 | D | |
| Explanation of Responses: |
| 1. These shares include the following Restricted Stock Units (RSUs) granted under the Company's equity plans: 63 RSUs which fully vest on 5/1/2021; 114 RSUs which vest in two installments of 56 on 4/27/2021 and 58 on 4/27/2022; 197 RSUs which vest in two installments of 65 on 5/3/2021 and 5/3/2022 and one installment of 67 on 5/3/2023; and 169 RSUs which vest in installments of 55 on 5/5/2022, 56 on 5/5/2023 and 58 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 22 Dividend Equivalents (DEs) granted pursuant to the Amgen Inc. 2009 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. |
| 3. 370 non-qualified stock options have vested and are exercisable. |
| 4. 1,077 of these non-qualified stock options have vested and are exercisable and 556 of these options will vest and become exercisable on 5/1/2021. |
| 5. 429 of these non-qualified stock options have vested and are exercisable and the remaining options will vest and become exercisable in installments of 429 on 4/27/2021 and 443 on 4/27/2022. |
| 6. These non-qualified stock options will vest and become exercisable in three installments of 568 on 5/3/2021, 569 on 5/3/2022 and 586 on 5/3/2023. |
| 7. These non-qualified stock options will vest and become exercisable in three installments of 467 on 5/5/2022, 468 on 5/5/2023 and 482 on 5/5/2024. |
| /s/ Andrea A. Robinson, attorney-in-fact for Ms. Louie | 07/29/2020 | |
| ** 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. | ||
