SEC Form 4 · accession 0001140361-16-046237
Emergent BioSolutions Inc. · EBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald Richard
Director
Period of report
Dec 30, 2015
Accepted (ET)
Jan 4, 2016 · 3:02 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 StockF1 | Dec 30, 2015 | M | 21,600 | $8.43 | A | 35,333 | D | |
| Common StockF1,F2,F3 | Dec 30, 2015 | S | 21,600 | $40.00 | D | 13,733 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1,F4 | $8.43 | Dec 30, 2015 | M | 21,600 | D | — | Jun 13, 2017 | Common Stock | 21,600 | 0 | D |
Explanation of responses
- F1Consists of an option granted under the company's stock incentive plan on June 14, 2007.
- F2The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. Richard.
- F3The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.01, inclusive.
- F4The option vested in three equal installments in June 2008, 2009 and 2010.