SEC Form 4 · accession 0001140361-16-046816
Emergent BioSolutions Inc. · EBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sue Bailey
Director
Period of report
Jan 4, 2016
Accepted (ET)
Jan 6, 2016 · 10:24 am 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 | Jan 4, 2016 | M | 5,760 | $11.67 | A | 34,260 | D | |
| Common StockF1,F4,F5 | Jan 4, 2016 | S | 5,760 | $38.97 | D | 28,500 | D | |
| Common StockF2 | Jan 4, 2016 | M | 2,880 | $16.13 | A | 31,380 | D | |
| Common StockF2,F4,F6 | Jan 4, 2016 | S | 2,880 | $38.77 | D | 28,500 | D | |
| Common StockF3 | Jan 4, 2016 | M | 2,880 | $22.02 | A | 31,380 | D | |
| Common StockF3,F4,F7 | Jan 4, 2016 | S | 2,880 | $38.46 | D | 28,500 | 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,F8 | $11.67 | Jan 4, 2016 | M | 5,760 | D | — | May 20, 2019 | Common Stock | 5,760 | 2,880 | D |
| Stock OptionF2,F9 | $16.13 | Jan 4, 2016 | M | 2,880 | D | — | May 19, 2020 | Common Stock | 2,880 | 2,880 | D |
| Stock OptionF3,F10 | $22.02 | Jan 4, 2016 | M | 2,880 | D | — | May 18, 2021 | Common Stock | 2,880 | 4,320 | D |
Explanation of responses
- F1Consists of an option granted under the company's stock incentive plan on May 21, 2009.
- F10The option vested in three equal installments in May 2012, 2013 and 2014.
- F2Consists of an option granted under the company's stock incentive plan on May 20, 2010.
- F3Consists of an option granted under the company's stock incentive plan on May 19, 2011.
- F4The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Dr. Bailey.
- F5The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.58 to $39.16, inclusive.
- F6The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.31 to $39.11, inclusive.
- F7The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.27 to $38.68, inclusive.
- F8The option vested in three equal installments in May 2010, 2011 and 2012.
- F9The option vested in three equal installments in May 2011, 2012 and 2013.