Accession Number: | 0000930413-19-003028 |
Date: | 2019-12-11 |
Issuer: | REGENERON PHARMACEUTICALS, INC. (REGN) |
Original Submission Date: |
YANCOPOULOS GEORGE
777 OLD SAW MILL RIVER ROAD
TARRYTOWN, NY 10591
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2019-11-18 | G | 325,986 | a | $0.00 | 325,986 | direct | ||
COMMON STOCK | 2019-12-12 | M | 95,295 | a | $21.25 | 421,281 | direct | ||
COMMON STOCK | 2019-12-12 | F | 49,405 | d | $377.16 | 371,876 | direct | ||
COMMON STOCK | 2019-12-12 | M | 150,000 | a | $21.25 | 521,876 | direct | ||
COMMON STOCK | 2019-12-12 | F | 77,767 | d | $377.16 | 444,109 | direct | ||
COMMON STOCK | 2019-08-05 | G | 75,036 | d | $0.00 | 0 | indirect | ||
COMMON STOCK | 2019-02-19 | G | 150,722 | d | $0.00 | 249,278 | indirect | ||
COMMON STOCK | 2019-06-13 | G | 500,000 | a | $0.00 | 500,000 | indirect | ||
COMMON STOCK | 2019-02-19 | G | 150,722 | a | $0.00 | 753,316 | indirect | ||
COMMON STOCK | 2019-06-13 | G | 500,000 | d | $0.00 | 253,316 | indirect | ||
COMMON STOCK | 2019-08-05 | G | 75,036 | a | $0.00 | 328,352 | indirect | ||
COMMON STOCK | 2019-11-14 | G | 2,366 | d | $0.00 | 325,989 | indirect | ||
COMMON STOCK | 2019-11-18 | G | 325,986 | d | $0.00 | 0 | indirect | ||
COMMON STOCK | 2019-12-11 | 0 | $0.00 | 5,791 | indirect |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
CLASS A STOCK | 0.0 | 2019-11-18 | deemed execution date | G | 23,367 (a) | common stock 23,367 | $0.00 | 23,367 | direct | |||
CLASS A STOCK | 0.0 | 2019-11-18 | deemed execution date | G | 23,367 (d) | common stock 23,367 | $0.00 | 0 | indirect | by trust | ||
NON-QUALIFIED STOCK OPTION (RIGHT TO BUY) | 21.25 | 2019-12-12 | deemed execution date | M | 95,295 (d) | 2019-12-18 | common stock 95,295 | $21.25 | 150,000 | direct | ||
NON-QUALIFIED STOCK OPTION (RIGHT TO BUY) | 21.25 | 2019-12-12 | deemed execution date | M | 150,000 (d) | 2019-12-18 | common stock 150,000 | $21.25 | 0 | direct | ||
NON-QUALIFIED STOCK OPTION (RIGHT TO BUY) | 372.46 | 2019-12-11 | deemed execution date | A | 81,278 (a) | 2029-12-11 | common stock 81,278 | $372.46 | 81,278 | direct | ||
PERFORMANCE STOCK UNITS | 0.0 | 2019-12-11 | deemed execution date | A | 25,155 (a) | common stock 25,155 | $0.00 | 25,155 | direct | |||
CLASS A STOCK | 0.0 | 2019-12-11 | deemed execution date | 0 ( ) | common stock 5,383 | $0.00 | 5,383 | indirect | by son | |||
CLASS A STOCK | 0.0 | 2019-12-11 | deemed execution date | 0 ( ) | common stock 14,000 | $0.00 | 14,000 | indirect | by daughter |
ID | footnote |
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f1 | disposition/acquisition made pursuant to a plan intended to comply with rule 10b5-1(c). |
f2 | class a stock of regeneron pharmaceuticals, inc. ("regeneron") converts to common stock of regeneron on a one-to-one basis upon certain events or upon election ofthe shareholder. |
f3 | these shares of class a stock are presently convertible and such conversion feature does not expire. |
f4 | these shares of class a stock are held in custody for the benefit of the reporting person's child. |
f5 | the stock option award (combined incentive stock option and non-qualified stock option) vested in four equal annual installments, commencing one year after the date ofgrant. |
f6 | the option became exercisable on december 31, 2012, based upon the satisfaction by the company of certain performance criteria during the period ended december 31,2012. |
f7 | the stock option award vests in four equal annual installments, commencing one year after the date of grant. |
f8 | each performance-based restricted stock unit ("psu") represents the contingent right to receive one share of the issuer's common stock at vesting. the amount reported reflects the maximum number of psus that may vest based upon the achievement of certain performance metrics related to total shareholder return over four-year and/or five-year performance periods ending on december 11, 2023 and december 11, 2024, respectively. between 50% and 225% of the target number of psus (i.e., between 50% and 225% of 11,180 psus) may vest upon achievement of predetermined total shareholder return percentages derived from compound annual growth rates of 5% to 15% for the applicable performance period. if none of the performance metrics are achieved at the conclusion of the performance periods, the award expires. |