Statement of Changes in Beneficial Ownership (4)
06 January 2021 - 8:05AM
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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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
*
SCHLEIFER LEONARD S |
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)
President & CEO |
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(Last)
(First)
(Middle)
777 OLD SAW MILL RIVER ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/31/2020 |
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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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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 |
| Performance Stock Units | (1) | 12/31/2020 | | A | | 620270 | | (1) | (1) | Common Stock | 620270 | $0 | 620270 | D | |
| Explanation of Responses: |
| (1) | Each performance restricted stock unit ("PSU") represents a contingent right to receive one share of Company stock. The amount reported is the maximum number of PSUs that may be earned upon achievement of certain total shareholder return ("TSR") goals derived from compound annual growth rates of 5.6% to 19.2% over a five-year performance period ending on December 31, 2025 (or in some cases at earlier times). Between 50% and 250% of the target number of 248,108 PSUs may be earned upon achievement of such TSR goals but shall only vest at the end of the five-year performance period if the reporting person's service to the Company continues through such date, except in certain limited cases (such as if service to the Company is terminated by the Company without cause or in case of a change in control ("CIC")). Earned PSUs are subject to a mandatory holding period of three years after vesting, which ends early upon the reporting person's death or disability or a CIC. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
SCHLEIFER LEONARD S
777 OLD SAW MILL RIVER ROAD
TARRYTOWN, NY 10591 | X |
| President & CEO |
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Signatures
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| /s/**Leonard S. Schleifer | | 1/5/2021 |
| **Signature of Reporting Person | Date |
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