SEC Form 4/A · accession 0001140361-17-008973

Emergent BioSolutions Inc. · EBS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

This is an amendment (Form 4/A). It replaces an earlier filing for the same period.

Reporting owner

Robert Kramer

Officer — EVP, Corporate Services Divisi

Period of report

Apr 1, 2016

Accepted (ET)

Feb 24, 2017 · 10:05 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
Common Stock^F2	Apr 1, 2016	M	11,531	$14.41	A	91,607	D
Common Stock^F2,F6	Apr 1, 2016	S	11,531	$35.49	D	80,076	D
Common Stock^F3	Apr 1, 2016	M	3,939	$14.67	A	84,015	D
Common Stock^F3,F7	Apr 1, 2016	S	3,939	$35.74	D	80,076	D
Common Stock^F4	Apr 1, 2016	M	17,354	$28.09	A	97,430	D
Common Stock^F4,F8	Apr 1, 2016	S	17,354	$35.48	D	80,076	D
Common Stock^F5	Apr 1, 2016	M	5,503	$29.00	A	85,579	D
Common Stock^F5,F9	Apr 1, 2016	S	5,503	$35.66	D	80,076	D
Common Stock^F10,F11	Apr 1, 2016	S	445	$35.93	D	79,631	D
Common Stock^F10,F12	Apr 1, 2016	S	1,855	$35.80	D	77,776	D
Common Stock^F10,F13	Apr 1, 2016	S	2,945	$35.73	D	74,831	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option^F2,F14	$14.41	Apr 1, 2016	M	11,531	A	—	Nov 4, 2019	Common Stock	11,531	11,531	D
Stock Option^F3,F15	$14.67	Apr 1, 2016	M	3,939	A	—	Mar 11, 2020	Common Stock	3,939	3,940	D
Stock Option^F4,F16	$28.09	Apr 1, 2016	M	17,354	A	—	Mar 10, 2021	Common Stock	17,354	34,708	D
Stock Option^F5,F17	$29.00	Apr 1, 2016	M	5,503	A	—	Mar 9, 2022	Common Stock	5,503	27,514	D

Explanation of responses

F1These sales were executed pursuant to a 10b5-1 trading plan adopted by the reporting person on February 29, 2016.
F10Consists of restricted stock units granted under the Amended and Restated Emergent BioSolutions Inc. 2006 Stock Incentive Plan, as amended.
F11The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.91 to $36.00, inclusive.
F12The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.50 to $36.13, inclusive.
F13The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.50 to $36.32, inclusive.
F14The option vested in three equal installments in November 2013, 2014 and 2015.
F15The option vest in three equal installments in March 2014, 2015 and 2016.
F16The option vest in three equal installments in March 2015, 2016 and 2017.
F17The 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 November 5, 2012.
F3Consists of an option granted under the company's stock incentive plan on March 12, 2013.
F4Consists of an option granted under the company's stock incentive plan on March 11, 2014.
F5Consists of an option granted under the company's stock incentive plan on March 10, 2015.
F6The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.11 to $36.34, inclusive.
F7The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.37 to $36.32, inclusive.
F8The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.07 to $36.35, inclusive.
F9The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.12 to $36.42, inclusive.

Remarks

EXPLANATORY NOTE: The sole purpose of this amendment to the Form 4 is to denote that the execution of all of the sale transactions reported by this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 29, 2016.