SEC Form 4 · accession 0001140361-16-060673
Emergent BioSolutions Inc. · EBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Kramer
Officer — EVP, Corporate Services Divisi
Period of report
Apr 6, 2016
Accepted (ET)
Apr 8, 2016 · 4:05 pm EDT
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 | Apr 6, 2016 | M | 5,765 | $14.41 | A | 77,551 | D | |
| Common StockF1,F5 | Apr 6, 2016 | S | 5,765 | $38.90 | D | 71,786 | D | |
| Common StockF2 | Apr 6, 2016 | M | 1,970 | $14.67 | A | 73,756 | D | |
| Common StockF2,F5 | Apr 6, 2016 | S | 1,970 | $38.90 | D | 71,786 | D | |
| Common StockF3 | Apr 6, 2016 | M | 8,677 | $28.09 | A | 80,463 | D | |
| Common StockF3,F5 | Apr 6, 2016 | S | 8,677 | $38.90 | D | 71,786 | D | |
| Common StockF4 | Apr 6, 2016 | M | 2,751 | $29.00 | A | 74,537 | D | |
| Common StockF4,F5 | Apr 6, 2016 | S | 2,751 | $38.90 | D | 71,786 | D | |
| Common StockF5,F6 | Apr 6, 2016 | S | 2,623 | $38.90 | D | 69,163 | 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,F7 | $14.41 | Apr 6, 2016 | M | 5,765 | A | — | Nov 4, 2019 | Common Stock | 5,765 | 0 | D |
| Stock OptionF2,F8 | $14.67 | Apr 6, 2016 | M | 1,970 | A | — | Mar 11, 2020 | Common Stock | 1,970 | 0 | D |
| Stock OptionF3,F9 | $28.09 | Apr 6, 2016 | M | 8,677 | A | — | Mar 10, 2021 | Common Stock | 8,677 | 17,354 | D |
| Stock OptionF4,F10 | $29.00 | Apr 6, 2016 | M | 2,751 | A | — | Mar 9, 2022 | Common Stock | 2,751 | 22,011 | D |
Explanation of responses
- F1Consists of an option granted under the company's stock incentive plan on November 5, 2012.
- F10The option vest in three equal installments in March 2016, 2017 and 2018.
- F2Consists of an option granted under the company's stock incentive plan on March 12, 2013.
- F3Consists of an option granted under the company's stock incentive plan on March 11, 2014.
- F4Consists of an option granted under the company's stock incentive plan on March 10, 2015.
- F5The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. Kramer.
- F6Consists of restricted stock units granted under the Amended and Restated Emergent BioSolutions Inc. 2006 Stock Incentive Plan, as amended.
- F7The option vested in three equal installments in November 2013, 2014 and 2015.
- F8The option vest in three equal installments in March 2014, 2015 and 2016.
- F9The option vest in three equal installments in March 2015, 2016 and 2017.