SEC Form 4 · accession 0001567619-18-004223
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
Oct 15, 2018
Accepted (ET)
Oct 17, 2018 · 4:19 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 | Oct 15, 2018 | M | 6,165 | $25.62 | A | 36,079 | D | |
| Common StockF1,F2 | Oct 15, 2018 | S | 6,165 | $60.1549 | D | 29,914 | D | |
| Common StockF1 | Oct 15, 2018 | M | 6,165 | $25.62 | A | 36,079 | D | |
| Common StockF1,F3 | Oct 15, 2018 | S | 6,165 | $60.0293 | D | 29,914 | D | |
| Common StockF1 | Oct 15, 2018 | S | 661 | $60.67 | D | 29,253 | D | |
| Common StockF1 | Oct 16, 2018 | M | 6,165 | $25.62 | A | 35,418 | D | |
| Common StockF1 | Oct 16, 2018 | S | 6,165 | $61.50 | D | 29,253 | D | |
| Common StockF1 | Oct 16, 2018 | M | 3,840 | $25.62 | A | 33,093 | D | |
| Common StockF1 | Oct 16, 2018 | S | 3,840 | $63.50 | D | 29,253 | 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)F4,F1,F5 | $25.62 | Oct 15, 2018 | M | 6,165 | D | — | Mar 10, 2021 | Common Stock | 6,165 | 24,663 | D |
| Stock Option (Right to Buy)F4,F1,F5 | $25.62 | Oct 15, 2018 | M | 6,165 | D | — | Mar 10, 2021 | Common Stock | 6,165 | 18,498 | D |
| Stock Option (Right to Buy)F4,F1,F5 | $25.62 | Oct 16, 2018 | M | 6,165 | D | — | Mar 10, 2021 | Common Stock | 6,165 | 12,333 | D |
| Stock Option (Right to Buy)F4,F1,F5 | $25.62 | Oct 16, 2018 | M | 3,840 | D | — | Mar 10, 2021 | Common Stock | 3,840 | 8,493 | D |
Explanation of responses
- F1The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. Havey.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.31 to $60.67, inclusive.
- F3The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.50 to $60.67, inclusive.
- F4Consists of an option granted under the company's stock incentive plan as amended and restated.
- F5The option grant vested in three equal installments on the day prior to the first, second and third anniversary dates of the grant.