SEC Form 4 · accession 0001567619-18-005093
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
Nov 1, 2018
Accepted (ET)
Nov 5, 2018 · 5:03 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 | Nov 1, 2018 | M | 2,011 | $25.62 | A | 31,264 | D | |
| Common StockF1 | Nov 1, 2018 | S | 2,011 | $63.50 | D | 29,253 | D | |
| Common StockF1 | Nov 2, 2018 | M | 6,168 | $25.62 | A | 35,421 | D | |
| Common StockF1 | Nov 2, 2018 | S | 6,168 | $64.50 | 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)F2,F1,F3 | $25.62 | Nov 1, 2018 | M | 2,011 | A | — | Mar 10, 2021 | Common Stock | 2,011 | 6,168 | D |
| Stock Option (Right to Buy)F2,F1,F3 | $25.62 | Nov 2, 2018 | M | 6,168 | A | — | Mar 10, 2021 | Common Stock | 6,168 | 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. Havey.
- F2Consists of an option granted under the company's stock incentive plan as amended and restated.
- F3The option grant vested in three equal installments on the day prior to the first, second and third anniversary dates of the grant.