Statement of Changes in Beneficial Ownership (4)
17 April 2020 - 6:05AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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
*
LAROSA JOSEPH J |
2. Issuer Name and Ticker or Trading Symbol
REGENERON PHARMACEUTICALS, INC.
[
REGN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP General Counsel and Secret |
(Last)
(First)
(Middle)
777 OLD SAW MILL RIVER ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/14/2020 |
(Street)
TARRYTOWN, NY 10591
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 4/14/2020 | | M(1) | | 5000 | A | $59.2 | 19438 | D | |
Common Stock | 4/14/2020 | | F(1) | | 2738 | D | $521.45 | 16700 | D | |
Common Stock | 4/15/2020 | | S(1) | | 92 | D | $514.63 | 16608 | D | |
Common Stock | 4/15/2020 | | S(1) | | 414 | D | $515.7 (2) | 16194 | D | |
Common Stock | 4/15/2020 | | S(1) | | 260 | D | $516.81 (3) | 15934 | D | |
Common Stock | 4/15/2020 | | S(1) | | 266 | D | $517.4 (4) | 15668 | D | |
Common Stock | 4/15/2020 | | S(1) | | 499 | D | $518.25 (5) | 15169 | D | |
Common Stock | 4/15/2020 | | S(1) | | 286 | D | $519.43 (6) | 14883 | D | |
Common Stock | 4/15/2020 | | S(1) | | 220 | D | $520.45 (7) | 14663 | D | |
Common Stock | 4/15/2020 | | S(1) | | 113 | D | $521.05 | 14550 | D | |
Common Stock | 4/15/2020 | | S(1) | | 106 | D | $524.99 | 14444 | D | |
Common Stock | 4/15/2020 | | S(1) | | 6 | D | $525.3 | 14438 | D | |
Common Stock | | | | | | | | 287 | I | By 401(k) Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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) | $59.2 | 4/14/2020 | | M (1) | | | 5000 | (8) | 9/1/2021 | Common Stock | 5000 | $0.0 | 34933 | D | |
Explanation of Responses: |
(1) | Disposition/acquisition made pursuant to a plan intended to comply with Rule 10b5-1(c). |
(2) | Represents volume-weighted average price of sales of 414 shares of Company stock on April 15, 2020 at prices ranging from $515.30 to $515.88. 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 April 15, 2020 at each separate price. |
(3) | Represents volume-weighted average price of sales of 260 shares of Company stock on April 15, 2020 at prices ranging from $516.06 to $516.89. 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 April 15, 2020 at each separate price. |
(4) | Represents volume-weighted average price of sales of 266 shares of Company stock on April 15, 2020 at prices ranging from $517.00 to $517.73. 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 April 15, 2020 at each separate price. |
(5) | Represents volume-weighted average price of sales of 499 shares of Company stock on April 15, 2020 at prices ranging from $518.03 to $518.78. 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 April 15, 2020 at each separate price. |
(6) | Represents volume-weighted average price of sales of 286 shares of Company stock on April 15, 2020 at prices ranging from $519.25 to $519.59. 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 April 15, 2020 at each separate price. |
(7) | Represents volume-weighted average price of sales of 220 shares of Company stock on April 15, 2020 at prices ranging from $520.29 to $520.62. 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 April 15, 2020 at each separate price. |
(8) | The stock option award (combined incentive stock option and non-qualified stock option) vests in four equal annual installments, commencing one year after the date of grant. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
LAROSA JOSEPH J 777 OLD SAW MILL RIVER ROAD TARRYTOWN, NY 10591 |
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| EVP General Counsel and Secret |
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Signatures
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/s/**Joseph J. LaRosa | | 4/16/2020 |
**Signature of Reporting Person | Date |
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