Statement of Changes in Beneficial Ownership (4)
01 September 2020 - 6:38AM
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)
8/27/2020 |
(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 | 8/27/2020 | | M | | 6000 | A | $52.03 | 20438 | D | |
Common Stock | 8/27/2020 | | F | | 3197 | D | $614.87 | 17241 | D | |
Common Stock | 8/27/2020 | | M | | 4000 | A | $52.03 | 21241 | D | |
Common Stock | 8/27/2020 | | F | | 2131 | D | $614.87 | 19110 | D | |
Common Stock | 8/31/2020 | | S | | 4672 | D | $615.04 (1) | 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) | $52.03 | 8/27/2020 | | M | | | 6000 | (2) | 12/16/2021 | Common Stock | 6000 | $0.0 | 4000 | D | |
Non-Qualified Stock Option (right to buy) | $52.03 | 8/27/2020 | | M | | | 4000 | (2) | 12/16/2021 | Common Stock | 4000 | $0.0 | 0 | D | |
Explanation of Responses: |
(1) | Represents volume-weighted average price of sales of 4,672 shares of Company stock on August 31, 2020 at prices ranging from $615.00 to $615.40. 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 August 31, 2020 at each separate price. |
(2) | With respect to 6,000 underlying shares (of which 0 remain outstanding), the option became exercisable on December 31, 2014, based upon the satisfaction by the company of certain performance criteria during the period ended December 31, 2014. With respect to 4,000 underlying shares (of which 0 remain outstanding), the stock option award vested 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 | | 8/31/2020 |
**Signature of Reporting Person | Date |
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