| 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) 03/10/2014 |
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 | 27,027(1)(2) | D | |
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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) | 08/03/2012(3) | 08/03/2020 | Common Stock | 15,000 | $54.71 | D | |
| Nqso (Right to Buy) | 04/25/2013(4) | 04/25/2021 | Common Stock | 6,500 | $54.69 | D | |
| Explanation of Responses: |
| 1. These shares include the following Restricted Stock Units (RSUs) granted under the Company's equity plans: 3,750 RSUs which fully vest on 8/3/2014; 1,245 RSUs which fully vest in 2 installments of 613 and 622 on 4/25/2014 and 4/25/2015, respectively; 1,500 RSUs which vest in 2 equal installments of 495 each on 4/27/2014 and 4/27/2015 and one installment of 510 on 4/27/2016; 840 RSUs which vest in 2 equal installments of 277 each on 4/26/2015 and 4/26/2016 and one installment of 286 on 4/26/2017; and 9,226 RSUs which vest in 2 equal installments of 4,163 each on 4/26/2015 and 4/26/2017. |
| 2. These shares include 239 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 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 amount. |
| 3. 11,250 of these stock options are exercisable immediately and the remaining 3,750 are exercisable on 8/30/2014. |
| 4. 2,145 of these stock options are exercisable immediately and the remaining 4,355 are exercisable in two installments of 2,145 and 2,210 on 4/25/2014 and 4/25/2015, respectively. |
| /s/ David A. Piacquad | 03/17/2014 | |
| ** 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. | ||