SEC Form 4 · accession 0001140361-17-037011
Emergent BioSolutions Inc. · EBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald Richard
Director
Period of report
Sep 27, 2017
Accepted (ET)
Sep 29, 2017 · 7:04 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 | Sep 27, 2017 | M | 1,266 | $7.99 | A | 24,676 | D | |
| Common StockF1 | Sep 27, 2017 | S | 1,266 | $40.00 | D | 23,410 | D | |
| Common StockF1 | Sep 28, 2017 | M | 22,415 | $7.99 | A | 45,825 | D | |
| Common StockF1,F2 | Sep 28, 2017 | S | 22,415 | $40.00 | D | 23,410 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to buy)F3,F4 | $7.99 | Sep 27, 2017 | M | 1,266 | D | — | May 21, 2018 | Common Stock | 1,266 | 22,415 | D |
| Employee Stock Option (Right to buy)F3,F4 | $7.99 | Sep 28, 2017 | M | 22,415 | D | — | May 21, 2018 | Common Stock | 22,415 | 0 | D |
Explanation of responses
- F1The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. Richard.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.05, inclusive.
- F3Consists of an option granted under the company's stock incentive plan as amended and restated.
- F4The option grant is fully vested.