SEC Form 4/A · accession 0000899243-19-004317
Emergent BioSolutions Inc. · EBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Fuad El-Hibri
Officer — Chairman · Director · 10% Owner
Period of report
Nov 19, 2018
Accepted (ET)
Feb 20, 2019 · 7:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001367644
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 19, 2018 | M | 20,000 | $14.44 | A | 1,508,675 | D | |
| Common StockF3 | Nov 20, 2018 | M | 15,173 | $14.44 | A | 1,503,848 | D | |
| Common StockF3 | Nov 26, 2018 | M | 25,000 | $13.38 | A | 1,513,675 | D | |
| Common StockF3 | Nov 27, 2018 | M | 20,832 | $13.38 | A | 1,509,507 | D | |
| Common StockF5 | Nov 27, 2018 | S | 20,832 | $69.59 | D | 1,488,675 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (Right to Buy)F6 | $14.44 | Nov 19, 2018 | M | 20,000 | D | — | Mar 12, 2019 | Common Stock | 20,000 | 15,173 | D |
| Employee Stock Options (Right to Buy)F6 | $14.44 | Nov 20, 2018 | M | 15,173 | D | — | Mar 12, 2019 | Common Stock | 15,173 | 0 | D |
| Employee Stock Options (Right to Buy)F7 | $13.38 | Nov 26, 2018 | M | 25,000 | D | — | Mar 11, 2020 | Common Stock | 25,000 | 20,832 | D |
| Employee Stock Options (Right to Buy)F7 | $13.38 | Nov 27, 2018 | M | 20,832 | D | — | Mar 11, 2020 | Common Stock | 20,832 | 0 | D |
Explanation of responses
- F1All transactions listed on this Form 4 were made by the Reporting Person pursuant to a trading plan adopted on June 6, 2018 that is intended to comply with Rule 10b5-1(c) under the Securities Exchange Act of 1934, as amended.
- F2The reported option exercises were inadvertently omitted from the original Form 4 filed with the Securities and Exchange Commission ("SEC") on November 21, 2018, which reported the sales of shares of the Issuer's common stock ("Common Stock") only, rather than the exercises of the options and subsequent sales of the shares of Common Stock acquired upon such exercises.
- F3The number of shares of Common Stock directly beneficially owned by the Reporting Person reported on this amended Form 4 gives effect to the sales of Common Stock by the Reporting Person as reported on the Forms 4 filed with the SEC on November 21, 2018 and November 28, 2018, as applicable.
- F4The reported option exercises were inadvertently omitted from the original Form 4 filed with the SEC on November 28, 2018, which reported the sales of shares of Common Stock only, rather than the exercises of the options and subsequent sales of the shares of Common Stock acquired upon such exercises.
- F5The price reported reflects a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.31 to $70.32.
- F6The options vested in three equal installments on March 12, 2013, March 12, 2014 and March 12, 2015.
- F7The options vested in three equal installments on March 11, 2014, March 11, 2015 and March 11, 2016.