SEC Form 4 · accession 0001140361-18-003133
Emergent BioSolutions Inc. · EBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jerome M Hauer
Director
Period of report
Jan 22, 2018
Accepted (ET)
Jan 24, 2018 · 8:22 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 | Jan 22, 2018 | M | 5,152 | $25.47 | A | 23,797 | D | |
| Common StockF2,F1 | Jan 22, 2018 | S | 5,152 | $50.9108 | D | 18,645 | D | |
| Common StockF1 | Jan 23, 2018 | S | 2,577 | $50.25 | D | 16,068 | 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 (Right to Buy)F3,F4 | $25.47 | Jan 22, 2018 | M | 5,152 | D | — | Jan 21, 2022 | Common Stock | 5,152 | 0 | D |
Explanation of responses
- F1The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Dr. Hauer.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.25 to $51.25, inclusive. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
- F3Consists of an option granted on January 22, 2015 under the company's stock incentive plan as amended and restated.
- F4The option grant vests in three equal installments on the day prior to the first, second and third anniversary dates of the grant.