SEC Form 4 · accession 0001140361-16-089899
Emergent BioSolutions Inc. · EBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald Richard
Director
Period of report
Dec 13, 2016
Accepted (ET)
Dec 15, 2016 · 8:48 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 StockF1 | Aug 1, 2016 | J | 152 | $0.00 | A | 19,870 | D | |
| Common StockF2 | Aug 1, 2016 | J | 604 | $0.00 | A | 20,474 | D | |
| Common StockF3 | Aug 1, 2016 | J | 577 | $0.00 | A | 21,051 | D | |
| Common Stock | Dec 13, 2016 | S | 5,800 | $34.0863 | D | 15,251 | D | |
| Common Stock | Dec 13, 2016 | S | 100 | $34.06 | D | 15,151 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1In connection with the spin-off (the "Spin-off") of Aptevo Therapeutics Inc. from Emergent BioSolutions Inc. ("Emergent"), on August 1, 2016 the reporting person received a grant of restricted stock units as a result of an adjustment to an existing Emergent restricted stock unit grant held by the reporting person prior to the Spin-off. The restricted stock units vest in May 2017.
- F2In connection with the spin-off (the "Spin-off") of Aptevo Therapeutics Inc. from Emergent BioSolutions Inc. ("Emergent"), on August 1, 2016 the reporting person received a grant of restricted stock units as a result of an adjustment to an existing Emergent restricted stock unit grant held by the reporting person prior to the Spin-off. The restricted stock units vest in May 2017 and May 2018.
- F3In connection with the spin-off (the "Spin-off") of Aptevo Therapeutics Inc. from Emergent BioSolutions Inc. ("Emergent"), on August 1, 2016 the reporting person received a grant of restricted stock units as a result of an adjustment to an existing Emergent restricted stock unit grant held by the reporting person prior to the Spin-off. The restricted stock units vest in May 2017, May 2018 and May 2019.