Amgen Form 3 / Matthew C. Busch ownership change

SEC Form 3

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^*

Busch Matthew C.

(Last)

(First)

(Middle)

ONE AMGEN CENTER DRIVE

(Street)

THOUSAND OAKS

91320

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
08/14/2023

3. Issuer Name and Ticker or Trading Symbol
AMGEN INC [ AMGN ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
VP, Finance & CAO

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
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	4,596⁽¹⁾⁽²⁾	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	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)
Nqso (Right to Buy)	04/27/2020⁽³⁾	04/27/2028	Common Stock	1,257	177.46	D
Nqso (Right to Buy)	05/03/2021⁽⁴⁾	05/03/2029	Common Stock	1,476	177.31	D
Nqso (Right to Buy)	05/05/2022⁽⁵⁾	05/05/2030	Common Stock	1,558	236.36	D
Nqso (Right to Buy)	04/30/2023⁽⁶⁾	04/30/2031	Common Stock	1,086	239.64	D
Nqso (Right to Buy)	05/02/2024⁽⁷⁾	05/02/2032	Common Stock	1,753	230.92	D
Nqso (Right to Buy)	05/02/2025⁽⁸⁾	05/02/2033	Common Stock	2,508	235.97	D

Explanation of Responses:

1. These shares include the following Restricted Stock Units (RSUs) granted under the Company's equity plans: 64 RSUs which will vest on 5/5/2024; 84 RSUs which will vest in installments of 41 on 4/30/2024 and 43 on 4/30/2025; 175 RSUs which will vest on 11/5/2023; 1,496 RSUs which will vest in installments of 493 on 11/5/2023, 494 on 11/5/2024 and 509 on 11/5/2025; 214 RSUs which will vest in installments of 70 on 5/2/2024, 71 on 5/2/2025, and 73 on 5/2/2026; and 296 RSUs which will vest in installments of 97 on 5/2/2025, 98 on 5/2/2026 and 101 on 5/2/2027. Vested RSUs will be paid in shares of the Company's common stock on a one-to-one basis.

2. These shares include 126 Dividend Equivalents (DEs) granted pursuant to the Amgen Inc. 2009 Amended and Restated 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. 1,257 of these non-qualified stock options have vested and are exercisable.

4. 1,476 of these non-qualified stock options have vested and are exercisable.

5. 1,028 of these non-qualified stock options have vested and 530 will vest and become exercisable on 5/5/2024.

6. 358 of these non-qualified stock options have vested and the remaining options will vest and become exercisable in installments of 358 on 4/30/2024 and 370 on 4/30/2025.

7. These non-qualified stock options will vest and become exercisable in two installments of 578 on 5/2/2024 and 5/2/2025 and one installment of 597 on 5/2/2026.

8. These non-qualified stock options will vest and become exercisable in installments of 827 on 5/2/2025, 828 on 5/2/2026 and 853 on 5/2/2027.

	/s/ Matthew C. Busch	08/21/2023
	** 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.

Amgen (AMGN) Form 3AMGEN / Matthew C. Busch ownership change