| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
REGENERON PHARMACEUTICALS, INC. [ REGN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 05/06/2020 | ||||||||||||||||||||||||||
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4. 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 Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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 | 05/06/2020 | M | 3,784 | A | $371.4 | 32,627 | D | |||
| Common Stock | 05/06/2020 | M | 4,960 | A | $380.95 | 37,587 | D | |||
| Common Stock | 05/06/2020 | M | 7,830 | A | $376.69 | 45,417 | D | |||
| Common Stock | 05/06/2020 | M | 9,212 | A | $520.01 | 54,629 | D | |||
| Common Stock | 05/06/2020 | M | 10,838 | A | $413.33 | 65,467 | D | |||
| Common Stock | 05/06/2020 | M | 8,500 | A | $273.67 | 73,967 | D | |||
| Common Stock | 05/06/2020 | M | 5,000 | A | $177.82 | 78,967 | D | |||
| Common Stock | 05/06/2020 | S | 1 | D | $556.62 | 78,966 | D | |||
| Common Stock | 05/06/2020 | S | 1,600 | D | $541.66(1) | 77,366 | D | |||
| Common Stock | 05/06/2020 | S | 496 | D | $542.66(2) | 76,870 | D | |||
| Common Stock | 05/06/2020 | S | 1,260 | D | $543.12(3) | 75,610 | D | |||
| Common Stock | 05/06/2020 | S | 405 | D | $544.57(4) | 75,205 | D | |||
| Common Stock | 05/06/2020 | S | 1,390 | D | $545.34(5) | 73,815 | D | |||
| Common Stock | 05/06/2020 | S | 1,631 | D | $546.31(6) | 72,184 | D | |||
| Common Stock | 05/06/2020 | S | 1,597 | D | $547.37(7) | 70,587 | D | |||
| Common Stock | 05/06/2020 | S | 2,597 | D | $548.17(8) | 67,990 | D | |||
| Common Stock | 05/06/2020 | S | 4,113 | D | $549.35(9) | 63,877 | D | |||
| Common Stock | 05/06/2020 | S | 7,295 | D | $550.58(10) | 56,582 | D | |||
| Common Stock | 05/06/2020 | S | 7,341 | D | $551.66(11) | 49,241 | D | |||
| Common Stock | 05/06/2020 | S | 6,477 | D | $552.33(12) | 42,764 | D | |||
| Common Stock | 05/06/2020 | S | 5,423 | D | $553.16(13) | 37,341 | D | |||
| Common Stock | 05/06/2020 | S | 2,172 | D | $554.33(14) | 35,169 | D | |||
| Common Stock | 05/06/2020 | S | 1,595 | D | $555.25(15) | 33,574 | D | |||
| Common Stock | 05/06/2020 | S | 4,731 | D | $556.31(16) | 28,843 | D | |||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 | ||||||||
| Non-Qualified Stock Option (right to buy) | $177.82 | 05/06/2020 | M | 5,000 | (17) | 01/02/2023 | Common Stock | 5,000 | $0.0 | 0 | D | ||||
| Non-Qualified Stock Option (right to buy) | $273.67 | 05/06/2020 | M | 8,500 | (17) | 01/02/2024 | Common Stock | 8,500 | $0.0 | 0 | D | ||||
| Non-Qualified Stock Option (right to buy) | $371.4 | 05/06/2020 | M | 3,784 | (17) | 01/02/2029 | Common Stock | 3,784 | $0.0 | 0 | D | ||||
| Non-Qualified Stock Option (right to buy) | $376.69 | 05/06/2020 | M | 7,830 | (17) | 01/03/2027 | Common Stock | 7,830 | $0.0 | 0 | D | ||||
| Non-Qualified Stock Option (right to buy) | $380.95 | 05/06/2020 | M | 4,960 | (17) | 01/02/2028 | Common Stock | 4,960 | $0.0 | 2,479 | D | ||||
| Non-Qualified Stock Option (right to buy) | $413.33 | 05/06/2020 | M | 10,838 | (17) | 01/02/2025 | Common Stock | 10,838 | $0.0 | 0 | D | ||||
| Non-Qualified Stock Option (right to buy) | $520.01 | 05/06/2020 | M | 9,212 | (17) | 01/04/2026 | Common Stock | 9,212 | $0.0 | 0 | D | ||||
| Explanation of Responses: |
| 1. Represents volume-weighted average price of sales of 1,600 shares of Company stock on May 6, 2020 at prices ranging from $541.56 to $541.68. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on May 6, 2020 at each separate price. |
| 2. Represents volume-weighted average price of sales of 496 shares of Company stock on May 6, 2020 at prices ranging from $542.00 to $542.75. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on May 6, 2020 at each separate price. |
| 3. Represents volume-weighted average price of sales of 1,260 shares of Company stock on May 6, 2020 at prices ranging from $543.00 to $543.39. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on May 6, 2020 at each separate price. |
| 4. Represents volume-weighted average price of sales of 405 shares of Company stock on May 6, 2020 at prices ranging from $544.35 to $544.58. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on May 6, 2020 at each separate price. |
| 5. Represents volume-weighted average price of sales of 1,390 shares of Company stock on May 6, 2020 at prices ranging from $545.00 to $545.99. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on May 6, 2020 at each separate price. |
| 6. Represents volume-weighted average price of sales of 1,631 shares of Company stock on May 6, 2020 at prices ranging from $546.00 to $546.83. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on May 6, 2020 at each separate price. |
| 7. Represents volume-weighted average price of sales of 1,597 shares of Company stock on May 6, 2020 at prices ranging from $547.00 to $547.88. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on May 6, 2020 at each separate price. |
| 8. Represents volume-weighted average price of sales of 2,597 shares of Company stock on May 6, 2020 at prices ranging from $548.00 to $548.60. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on May 6, 2020 at each separate price. |
| 9. Represents volume-weighted average price of sales of 4,113 shares of Company stock on May 6, 2020 at prices ranging from $549.00 to $549.92. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on May 6, 2020 at each separate price. |
| 10. Represents volume-weighted average price of sales of 7,295 shares of Company stock on May 6, 2020 at prices ranging from $550.00 to $550.95. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on May 6, 2020 at each separate price. |
| 11. Represents volume-weighted average price of sales of 7,341 shares of Company stock on May 6, 2020 at prices ranging from $551.00 to $551.99. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on May 6, 2020 at each separate price. |
| 12. Represents volume-weighted average price of sales of 6,477 shares of Company stock on May 6, 2020 at prices ranging from $552.00 to $552.89. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on May 6, 2020 at each separate price. |
| 13. Represents volume-weighted average price of sales of 5,423 shares of Company stock on May 6, 2020 at prices ranging from $553.01 to $553.76. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on May 6, 2020 at each separate price. |
| 14. Represents volume-weighted average price of sales of 2,172 shares of Company stock on May 6, 2020 at prices ranging from $554.00 to $554.72. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on May 6, 2020 at each separate price. |
| 15. Represents volume-weighted average price of sales of 1,595 shares of Company stock on May 6, 2020 at prices ranging from $555.00 to $555.68. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on May 6, 2020 at each separate price. |
| 16. Represents volume-weighted average price of sales of 4,731 shares of Company stock on May 6, 2020 at prices ranging from $556.14 to $556.50. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on May 6, 2020 at each separate price. |
| 17. The stock option becomes exercisable in three equal annual installments, commencing one year after the date of grant. |
| /s/**Arthur F. Ryan | 05/07/2020 | |
| ** 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 4 (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. | ||