-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, KcrOXz3xuQHIbYScpd4gDvQQjl3F/gCMLPKxdyvH4LC4AQjgqnxARnN+VuNMDl5d 6E51bvbzFI/rf86hty+D1w== 0001193125-07-155029.txt : 20070713 0001193125-07-155029.hdr.sgml : 20070713 20070713172645 ACCESSION NUMBER: 0001193125-07-155029 CONFORMED SUBMISSION TYPE: S-8 PUBLIC DOCUMENT COUNT: 4 FILED AS OF DATE: 20070713 DATE AS OF CHANGE: 20070713 EFFECTIVENESS DATE: 20070713 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AMGEN INC CENTRAL INDEX KEY: 0000318154 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 953540776 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: S-8 SEC ACT: 1933 Act SEC FILE NUMBER: 333-144581 FILM NUMBER: 07979386 BUSINESS ADDRESS: STREET 1: ONE AMGEN CENTER DRIVE CITY: THOUSAND OAKS STATE: CA ZIP: 91320-1799 BUSINESS PHONE: 805-447-1000 MAIL ADDRESS: STREET 1: ONE AMGEN CENTER DRIVE STREET 2: MAIL STOP 27-3-C CITY: THOUSAND OAKS STATE: CA ZIP: 91320-1799 FORMER COMPANY: FORMER CONFORMED NAME: AMGEN DATE OF NAME CHANGE: 19870305 S-8 1 ds8.htm FORM S-8 Form S-8

As filed with the Securities and Exchange Commission on July 13, 2007

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)

 


 

Delaware   95-3540776

(State or Other Jurisdiction of

Incorporation or Organization)

 

(I.R.S. Employer

Identification Number)

 


One Amgen Center Drive

Thousand Oaks, California 91320-1799

(Address of Principal Executive Offices including Zip Code)

 


AMGEN RETIREMENT AND SAVINGS PLAN

(Full Title of the Plan)

 


 

David J. Scott, Esq.

Senior Vice President, General Counsel and
Secretary

One Amgen Center Drive

Thousand Oaks, California 91320-1799

(805) 447-1000

 

Copy to:

Charles Ruck

Regina Schlatter

Latham & Watkins LLP

650 Town Center Drive, 20th Floor

Costa Mesa, California 92626

(714) 540-1235

 


(Name, Address, Including Zip Code, and Telephone Number,

Including Area Code, of Agent for Service)

 


CALCULATION OF REGISTRATION FEE


Title of Securities to be Registered   

Amount

to be
Registered(1)

  

Proposed

Maximum

Offering Price

Per Share(2)

   Proposed
Maximum
Aggregate
Offering Price(2)
   Amount of
Registration Fee

Common Stock, par value $0.0001 per share

   2,500,000    $ 54.59    $ 136,475,000.00    $ 4,189.78

(1) 2,500,000 shares of common stock, par value $0.0001 per share (the “Common Stock”) of Amgen Inc., a Delaware corporation (the “Company”), are being registered hereunder. Such number represents shares that may be purchased in the open market pursuant to the 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.
(2) 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 July 10, 2007.

Proposed issuances to commence as soon after the effective date of the Registration Statement as practicable.

 



PART I

INFORMATION REQUIRED IN THE SECTION 10(a) PROSPECTUS

The information called for in Part I of the Form S-8 is not being filed with or included in this Form S-8 (by incorporation by reference or otherwise) in accordance with the rules and regulations of the Securities and Exchange Commission (the “Commission”).

PART II

INFORMATION REQUIRED IN THE REGISTRATION STATEMENT

Registration of Additional Securities

The Company 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 Commission on February 25, 1991, Registration No. 33-39104, as amended (the “Prior Registration Statement”). Under this Registration Statement, the Company is registering an additional 2,500,000 shares of Common Stock that may be acquired under the Plan. The content of the Prior Registration Statement is incorporated by reference herein to the extent not modified or superseded thereby or by any subsequently filed document that is incorporated by reference herein or therein.

Experts

The financial statements and management’s report on the effectiveness of internal control over financial reporting incorporated in this Registration Statement by reference from the Company’s Annual Report on Form 10-K for the year ended December 31, 2006 have been audited by Ernst & Young LLP, an independent registered public accounting firm, as stated in their report, which is incorporated herein by reference, and have been so incorporated in reliance upon the report of such firm given upon their authority as experts in accounting and auditing.

 

Item 8. Exhibits.

See the Index to Exhibits on page 4.

The Company previously received a determination letter from the Internal Revenue Service (the “IRS”), dated November 21, 2001, certifying that the Plan was qualified under Section 401 of the Internal Revenue Code, as amended (the “Code”). On January 22, 2007, 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.

 

1


SIGNATURES

Pursuant to the requirements of the Securities Act of 1933, as amended, the Registrant, Amgen Inc., a Delaware corporation, 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 this 13th day of July 2007.

 

AMGEN INC.
By:  

/s/ Kevin W. Sharer

  Kevin W. Sharer
  Chairman of the Board, Chief Executive Officer and President

POWER OF ATTORNEY

KNOW ALL MEN AND WOMEN BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Kevin W. Sharer, Robert A. Bradway and David J. Scott, 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 (including, without limitation, post-effective amendments) and supplements to this Registration Statement, and any related registration statements, 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, as amended, this Registration Statement has been signed by the following persons on behalf of the registrant and in the capacities on the dates indicated:

 

Signature

 

Title

 

Date

/s/ Kevin W. Sharer

  Chairman of the Board, Chief Executive Officer and President, and Director (Principal Executive Officer)   July 13, 2007
Kevin W. Sharer    

/s/ Robert A. Bradway

  Executive Vice President and Chief Financial Officer (Principal Financial Officer)   July 13, 2007
Robert A. Bradway    

/s/ Michael A. Kelly

  Vice President, Finance and Chief Accounting Officer (Principal Accounting Officer)   July 13, 2007
Michael A. Kelly    

/s/ David Baltimore

  Director   July 13, 2007
David Baltimore    

/s/ Frank J. Biondi, Jr.

  Director   July 13, 2007
Frank J. Biondi, Jr.    

/s/ Jerry D. Choate

  Director   July 13, 2007
Jerry D. Choate    

/s/ Frederick W. Gluck

  Director   July 13, 2007
Frederick W. Gluck    

 

2


/s/ Frank C. Herringer

  Director   July 13, 2007
Frank C. Herringer    

/s/ Gilbert S. Omenn

  Director   July 13, 2007
Gilbert S. Omenn    

/s/ Judith C. Pelham

  Director   July 13, 2007
Judith C. Pelham    

/s/ J. Paul Reason

  Director   July 13, 2007
J. Paul Reason    

/s/ Leonard D. Schaeffer

  Director   July 13, 2007
Leonard D. Schaeffer    

SIGNATURES

Pursuant to the requirements of the Securities Act of 1933, as amended, the trustee (or other persons who administer the Amgen Retirement and Savings 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 13th day of July 2007.

 

AMGEN RETIREMENT AND SAVINGS PLAN
By:   AMGEN INC.
  Plan Administrator
  By:  

/s/ Kevin W. Sharer

    Kevin W. Sharer, Chairman of the Board, Chief Executive Officer and President
   

 

3


INDEX TO EXHIBITS

 

EXHIBIT  

DESCRIPTION

  4.1   Restated Certificate of Incorporation (as restated December 6, 2005). (1)
  4.2   Amended and Restated Bylaws of Amgen Inc. (as amended and restated February 14, 2007). (2)
  4.3   Form of stock certificate for the common stock, par value $0.0001 of Amgen Inc. (3)
  4.4   Registration Rights Agreement, dated as of November 18, 2004, among Amgen Inc. and Morgan Stanley & Co. Incorporated and Merrill Lynch, Pierce, Fenner & Smith Incorporated. (4)
  4.5   Registration Rights Agreement, dated as of February 17, 2006, among Amgen Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, Citigroup Global Markets Inc., JPMorgan Securities Inc., Lehman Brothers Inc., Bear, Stearns & Co. Inc., Credit Suisse Securities (USA) LLC. (5)
  5*   Determination letter issued by the Internal Revenue Service, dated November 21, 2001.
23*   Consent of Ernst & Young LLP, Independent Registered Public Accounting Firm.
24*   Power of Attorney (included on the signature page to this Registration Statement).

* Filed herewith.
(1) Filed as an exhibit to the Form 10-K for the year ended December 31, 2005 on March 10, 2006 and incorporated herein by reference.
(2) Filed as an exhibit to the Current Report on Form 8-K on February 20, 2007 and incorporated herein by reference.
(3) Filed as an exhibit to the Form 10-Q for the quarter ended March 31, 1997 on May 13, 1997 and incorporated herein by reference.
(4) Filed as an exhibit to the Company’s Form 8-K on November 19, 2004 and incorporated herein by reference.
(5) Filed as an exhibit to the Company’s Form 8-K on February 21, 2006 and incorporated herein by reference.

 

4

EX-5 2 dex5.htm DETERMINATION LETTER Determination letter

Exhibit 5

 

INTERNAL REVENUE SERVICE      DEPARTMENT OF THE TREASURY
P. O. BOX 2508     
CINCINNATI, OH 45201     
     Employer Identification Number:
Date: NOV 21 2001     

95-3540776

     DLN:
    

17007068011031

AMGEN INC      Person to Contact:
ONE AMGEN CENTER DR     

MICHAEL EDWARDS                            ID# 11626

THOUSAND OAKS, CA 91320-0000      Contact Telephone Number:
    

(877) 829-5500

     Plan Name:
    

AMGEN RETIREMENT AND SAVINGS PLAN

     Plan Number: 001

Dear Applicant:

We have made a favorable determination on the plan identified above based on the information you have supplied. Please keep this letter, the application forms submitted to request this letter and all correspondence with the Internal Revenue Service regarding your application for a determination letter in your permanent records. You must retain this information to preserve your reliance on this letter.

Continued qualification of the plan under its present form will depend on its effect in operation. See section 1.401-1(b)(3) of the Income Tax Regulations. We will review the status of the plan in operation periodically.

The enclosed Publication 794 explains the significance and the scope of this favorable determination letter based on the determination requests selected on your application forms. Publication 794 describes the information that must be retained to have reliance on this favorable determination letter. The publication also provide examples of the effect of a plan’s operation on its qualified status and discusses the reporting requirements for qualified plans. Please read Publication 794.

This letter relates only to the status of your plan under the Internal Revenue Code. It is not a determination regarding the effect of other federal or local statutes.

This determination is subject to your adoption of the proposed amendments submitted in your letter dated November 16, 2001. The proposed amendments should be adopted on or before the date prescribed by the regulations under Code section 401(b).

This determination letter is applicable for the amendment(s) executed on June 28, 1999.

This determination letter is also applicable for the amendment(s) dated on October 20, 1998.

This determination letter is applicable for the plan adopted on


AMGEN INC

December 6, 2000.

This letter considers the changes in qualification requirements made by the Uruguay Round Agreements Act, Pub. L. 103-465, the Small Business Job Protection Act of 1996, Pub. L. 104-188, the Uniformed Services Employment and Reemployment Rights Act of 1994, Pub. L. 103-353, the Taxpayer Relief Act of 1997, Pub. L. 105-34, the Internal Revenue Service Restructuring and Reform Act of 1998, Pub. L. 105-206, and the Community Renewal Tax Relief Act of 2000, Pub. L. 106-554.

The requirement for employee benefits plans to file summary plan descriptions (SPD) with the U.S. Department of Labor was eliminated effective August 5, 1997. For more details, call 1-800-998-7542 for a free copy of the SPD card.

The information on the enclosed addendum is an integral part of this determination. Please be sure to read and keep it with this letter.

If you have questions concerning this matter, please contact the person whose name and telephone number are shown above.

 

Sincerely yours,

LOGO

Paul T. Shultz

Director,

Employee Plans Rulings & Agreements

Enclosures:

Publication 794

Addendum

 

- 2 -


AMGEN INC

This determination letter is also applicable for the amendments adopted on December 8, 1997, October 20, 1997, June 16, 1997 and December 9, 1996.

 

- 3 -

EX-23 3 dex23.htm CONSENT OF ERNST & YOUNG LLP Consent of Ernst & Young LLP

Exhibit 23

Consent of Independent Registered Public Accounting Firm

We consent to the reference to our firm under the caption “Experts” in the Registration Statement (Form S-8) pertaining to the Amgen Retirement and Savings Plan, and to the incorporation by reference therein of our reports dated February 22, 2007, with respect to the consolidated financial statements and schedules of Amgen Inc., Amgen Inc. management’s assessment of the effectiveness of internal control over financial reporting, and the effectiveness of internal control over financial reporting of Amgen Inc., included in its Annual Report (Form 10-K) for the year ended December 31, 2006, filed with the Securities and Exchange Commission.

/s/ Ernst & Young LLP

Los Angeles, California

July 12, 2007

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