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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Class A Stock | (3) | 06/06/2013 | G(4) | 2,778 (5) | (6) | (7) | Common Stock | 2,778 | $ 0 | 0 | D | ||||
Class A Stock | $ 0 (3) | 08/08/2013 | G | 4,857 (8) | (6) | (7) | Common Stock | 4,857 | $ 0 | 2,643 | I | GRAT self | |||
Class A Stock | $ 0 (3) | 08/08/2013 | G | 4,857 (8) | (6) | (7) | Common Stock | 4,857 | $ 0 | 2,643 | I | GRAT spouse | |||
Class A Stock | (3) | 06/06/2013 | G(9) | 2,778 (5) | (6) | (7) | Common Stock | 2,778 | $ 0 | 0 | I | by Spouse | |||
Class A Stock | (3) | 06/06/2013 | G | 5,556 (5) | (6) | (7) | Common Stock | 5,556 | $ 0 | 5,556 | I | by Trust (1) | |||
Class A Stock | (3) | 08/08/2013 | G | 9,714 (8) | (6) | (7) | Common Stock | 9,714 | $ 0 | 15,270 | I | by Trust (1) | |||
Class A Stock | (3) | 11/26/2013 | C | 8,185 | (6) | (7) | Common Stock | 8,185 | $ 0 | 7,085 | I | by Trust (1) | |||
Class A Stock | (3) | 06/06/2013 | G(9) | 14,444 (4) | (6) | (7) | Common Stock | 14,444 | $ 0 | 14,444 | I | by trust for daughte (10) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SHOOTER ERIC M 777 OLD SAW MILL RIVER ROAD TARRYTOWN, NY 10591 |
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/s/**Eric M. Shooter | 11/28/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The reporting person and his spouse are co-trustees and beneficiaries of the Shooter Family Trust. |
(2) | Gift of Common Stock to a charitable foundation. |
(3) | Class A Stock of Regeneron Pharmaceuticals, Inc. ("Regeneron") converts to Common Stock of Regeneron on a one-to-one basis upon certain events or upon election of the shareholder. |
(4) | Following termination of a GRAT of the reporting person, 2,778 shares of Class A Stock were transferred to the Shooter Family Trust and 7,222 shares of Class A Stock were transferred to a trust for the benefit of the reporting person's daughter, as indicated in this report. |
(5) | The reporting person and his spouse each contributed 2,778 shares of Class A Stock to the Shooter Family Trust. |
(6) | Exercisable date, exercise date, exercise price, purchase price, sales price, and/or expiration date is/are not applicable in this case. |
(7) | Shares of Class A Stock are convertible at any time on a share-for-share basis into Common Stock. |
(8) | The reporting person and his spouse each contributed 4,857 shares of Class A Stock received as distribution from their respective GRATs to the Shooter Family Trust. |
(9) | Following termination of a GRAT of the reporting person's spouse, 2,778 shares of Class A Stock were transferred to the Shooter Family Trust and 7,222 shares of Class A Stock were transferred to a trust for the benefit of the reporting person's daughter, as indicated in this report. |
(10) | A trust for the benefit of the reporting person's adult daughter, of which the reporting person and his spouse serve as co-trustees. |