Upgrade to SI Premium - Free Trial

Form 4 REGENERON PHARMACEUTICAL For: Apr 14 Filed by: LAROSA JOSEPH J

April 16, 2020 4:04 PM
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Expires: December 31, 2014
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person *
LAROSA JOSEPH J

(Last) (First) (Middle)
777 OLD SAW MILL RIVER ROAD

(Street)
TARRYTOWN NY 10591

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
REGENERON PHARMACEUTICALS, INC. [ REGN ]
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
3. Date of Earliest Transaction (Month/Day/Year)
04/14/2020
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 04/14/2020 M (1) 5,000 A $ 59.20 19,438 D
Common Stock 04/14/2020 F (1) 2,738 D $ 521.45 16,700 D
Common Stock 04/15/2020 S (1) 92 D $ 514.63 16,608 D
Common Stock 04/15/2020 S (1) 414 D $ 515.70 (2) 16,194 D
Common Stock 04/15/2020 S (1) 260 D $ 516.81 (3) 15,934 D
Common Stock 04/15/2020 S (1) 266 D $ 517.40 (4) 15,668 D
Common Stock 04/15/2020 S (1) 499 D $ 518.25 (5) 15,169 D
Common Stock 04/15/2020 S (1) 286 D $ 519.43 (6) 14,883 D
Common Stock 04/15/2020 S (1) 220 D $ 520.45 (7) 14,663 D
Common Stock 04/15/2020 S (1) 113 D $ 521.05 14,550 D
Common Stock 04/15/2020 S (1) 106 D $ 524.99 14,444 D
Common Stock 04/15/2020 S (1) 6 D $ 525.30 14,438 D
Common Stock 287 I By 401(k) Plan
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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) $ 59.20 04/14/2020 M (1) 5,000 (8) 09/01/2021 Common Stock 5,000 $ 0 34,933 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.
/s/**Joseph J. LaRosa 04/16/2020
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Categories

SEC Filings