Statement of Changes in Beneficial Ownership (4)
23 May 2020 - 8:22AM
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
*
VAGELOS P ROY |
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)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chairman of the Board |
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(Last)
(First)
(Middle)
777 OLD SAW MILL RIVER ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/20/2020 |
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(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 | 5/21/2020 | | S(1) | | 683 | D | $577.37 (2) | 307849 | D | |
| Common Stock | 5/21/2020 | | S(1) | | 100 | D | $578.34 | 307749 | D | |
| Common Stock | 1/3/2020 | | G |
V
| 564 | D | $0.0 | 144333 | I | by CLAT |
| Common Stock | 4/2/2020 | | G |
V
| 433 | D | $0.0 | 143900 | I | by CLAT |
| Common Stock | | | | | | | | 2207 | I | By 401(k) Plan |
| Common Stock | | | | | | | | 83652 | I | by Spouse as Trustee |
| Common Stock | | | | | | | | 1203 | I | by trust for grandch (3) |
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 |
| Incentive Stock Option (right to buy) | $30.63 | 5/20/2020 | | M | | | 3264 | (4) | 12/14/2020 | Common Stock | 3264 | $0.0 | 0 | D | |
| Non-Qualified Stock Option (right to buy) | $30.63 | 5/20/2020 | | M (1) | | | 77309 | (4) | 12/14/2020 | Common Stock | 77309 | $0.0 | 231927 | D | |
| Non-Qualified Stock Option (right to buy) | $30.63 | 5/20/2020 | | M (1) | | | 77309 | (4) | 12/14/2020 | Common Stock | 77309 | $0.0 | 154618 | D | |
| Non-Qualified Stock Option (right to buy) | $30.63 | 5/20/2020 | | M (1) | | | 77309 | (4) | 12/14/2020 | Common Stock | 77309 | $0.0 | 77309 | D | |
| Non-Qualified Stock Option (right to buy) | $30.63 | 5/20/2020 | | M (1) | | | 77309 | (4) | 12/14/2020 | Common Stock | 77309 | $0.0 | 0 (5) | 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 683 shares of Company stock on May 21, 2020 at prices ranging from $577.08 to $577.51. 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 21, 2020 at each separate price. |
| (3) | By a trust for the benefit of certain grandchildren of the reporting person, of which the reporting person and/or the spouse of the reporting person is trustee. |
| (4) | 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. |
| (5) | Form two of two |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
VAGELOS P ROY
777 OLD SAW MILL RIVER ROAD
TARRYTOWN, NY 10591 | X |
| Chairman of the Board |
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Signatures
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| /s/**P. Roy Vagelos | | 5/22/2020 |
| **Signature of Reporting Person | Date |
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