SEC Form 4 · accession 0001140361-18-012878
Emergent BioSolutions Inc. · EBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adam Havey
Officer — EVP, Business Operations
Period of report
Mar 7, 2018
Accepted (ET)
Mar 9, 2018 · 5:24 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 Stock | Mar 7, 2018 | M | 6,573 | $22.03 | A | 39,573 | D | |
| Common StockF1 | Mar 7, 2018 | F | 2,843 | $50.43 | D | 36,730 | 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)F2,F3 | $22.03 | Mar 7, 2018 | M | 6,573 | D | Mar 14, 2014 | Mar 14, 2018 | Common Stock | 6,573 | 0 | D |
Explanation of responses
- F1Consists of shares owned by the reporting person and delivered to the issuer to satisfy the reporting persons exercise price for the reported stock option exercise.
- F2Consists of options granted under the Amended and Restated Emergent BioSolutions Inc. 2006 Stock Incentive Plan, as amended.
- F3The option vested in three equal installments in March 2012, March 2013 and March 2014. Each option represents the right of the reporting person to receive one share of common stock of Emergent BioSolutions Inc., subject to adjustment as provided in the grant agreement.