SEC Form 4 · accession 0001140361-16-065825
Emergent BioSolutions Inc. · EBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Louis W Sullivan
Director
Period of report
May 12, 2016
Accepted (ET)
May 16, 2016 · 5:50 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 | May 12, 2016 | M | 300 | $8.43 | A | 28,800 | D | |
| Common StockF1 | May 12, 2016 | S | 300 | $39.00 | D | 28,500 | D | |
| Common StockF1 | May 13, 2016 | M | 4,131 | $8.43 | A | 32,631 | D | |
| Common StockF1 | May 13, 2016 | S | 4,131 | $39.00 | D | 28,500 | D | |
| Common StockF2 | May 13, 2016 | M | 21,600 | $8.76 | A | 50,100 | D | |
| Common StockF2,F3 | May 13, 2016 | S | 21,600 | $39.19 | A | 28,500 | D | |
| Common StockF4 | May 13, 2016 | M | 21,600 | $11.67 | A | 50,100 | D | |
| Common StockF4,F3 | May 13, 2016 | S | 21,600 | $39.28 | 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,F5 | $8.43 | May 12, 2016 | M | 300 | A | — | Jun 13, 2017 | Common Stock | 300 | 4,131 | D |
| Stock OptionF1,F5 | $8.43 | May 13, 2016 | M | 4,131 | A | — | Jun 13, 2017 | Common Stock | 4,131 | 0 | D |
| Stock OptionF2,F6 | $8.76 | May 13, 2016 | M | 21,600 | A | — | May 20, 2018 | Common Stock | 21,600 | 0 | D |
| Stock OptionF4,F7 | $11.67 | May 13, 2016 | M | 21,600 | A | — | May 20, 2019 | 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.
- F2Consists of an option granted under the company's stock incentive plan on May 21, 2008.
- F3The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.00 to $39.47; inclusive.
- F4Consists of an option granted under the company's stock incentive plan on May 21, 2009.
- F5The option vested in three equal installments in June 2008, 2009 and 2010.
- F6The option vested in three equal installments in May 2009, 2010 and 2011.
- F7The options vested in three equal installments in May 2010, 2011 and 2012.