Filing Details
- Accession Number:
- 0001140361-17-002344
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-01-19 21:33:44
- Reporting Period:
- 2017-01-17
- Filing Date:
- 2017-01-19
- Accepted Time:
- 2017-01-19 21:33:44
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1367644 | Emergent Biosolutions Inc. | EBS | Pharmaceutical Preparations (2834) | 141902018 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1403769 | Sue Bailey | 400 Professional Dr, Suite 400 Gaithersburg MD 20879 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-08-01 | 152 | $0.00 | 34,637 | No | 4 | J | Direct | |
| Common Stock | Acquisiton | 2016-08-01 | 604 | $0.00 | 35,241 | No | 4 | J | Direct | |
| Common Stock | Acquisiton | 2016-08-01 | 577 | $0.00 | 35,818 | No | 4 | J | Direct | |
| Common Stock | Acquisiton | 2017-01-17 | 3,157 | $10.64 | 38,975 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-01-17 | 3,157 | $29.78 | 35,818 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-01-17 | 3,157 | $14.71 | 38,975 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-01-17 | 3,157 | $29.78 | 35,818 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-01-17 | 3,157 | $20.08 | 38,975 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-01-17 | 3,157 | $29.78 | 35,818 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-01-17 | 4,735 | $13.37 | 40,553 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-01-17 | 4,735 | $29.78 | 35,818 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-01-17 | 3,157 | $13.00 | 38,975 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-01-17 | 3,157 | $29.78 | 35,818 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-01-17 | 2,061 | $18.64 | 37,879 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-01-17 | 2,061 | $29.78 | 35,818 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | J | Direct | |
| No | 4 | J | Direct | |
| No | 4 | J | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to buy) | Acquisiton | 2016-08-01 | 277 | $0.00 | 277 | $10.64 |
| Common Stock | Stock Option (Right to buy) | Disposition | 2017-01-17 | 3,157 | $0.00 | 3,157 | $10.64 |
| Common Stock | Stock Option (Right to buy) | Acquisiton | 2016-08-01 | 277 | $0.00 | 277 | $14.71 |
| Common Stock | Stock Option (Right to buy) | Disposition | 2017-01-17 | 3,157 | $0.00 | 3,157 | $14.71 |
| Common Stock | Stock Option (Right to buy) | Acquisiton | 2016-08-01 | 416 | $0.00 | 416 | $20.08 |
| Common Stock | Stock Option (Right to buy) | Disposition | 2017-01-17 | 3,157 | $0.00 | 3,157 | $20.08 |
| Common Stock | Stock Option (Right to buy) | Acquisiton | 2016-08-01 | 693 | $0.00 | 693 | $13.37 |
| Common Stock | Stock Option (Right to buy) | Disposition | 2017-01-17 | 4,735 | $0.00 | 4,735 | $13.37 |
| Common Stock | Stock Option (Right to buy) | Acquisiton | 2016-08-01 | 693 | $0.00 | 693 | $13.00 |
| Common Stock | Stock Option (Right to buy) | Disposition | 2017-01-17 | 3,157 | $0.00 | 3,157 | $13.00 |
| Common Stock | Stock Option (Right to buy) | Acquisiton | 2016-08-01 | 905 | $0.00 | 905 | $18.64 |
| Common Stock | Stock Option (Right to buy) | Disposition | 2017-01-17 | 2,061 | $0.00 | 2,061 | $18.64 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,157 | 2019-05-20 | No | 4 | J | Direct | |
| 0 | 2019-05-20 | No | 4 | M | Direct | |
| 3,157 | 2020-05-19 | No | 4 | J | Direct | |
| 0 | 2020-05-19 | No | 4 | M | Direct | |
| 4,736 | 2021-05-18 | No | 4 | J | Direct | |
| 1,579 | 2021-05-18 | No | 4 | M | Direct | |
| 7,893 | 2019-05-16 | No | 4 | J | Direct | |
| 3,158 | 2019-05-16 | No | 4 | M | Direct | |
| 7,893 | 2020-05-22 | No | 4 | J | Direct | |
| 4,736 | 2020-05-22 | No | 4 | M | Direct | |
| 10,305 | 2021-05-21 | No | 4 | J | Direct | |
| 8,244 | 2021-05-21 | No | 4 | M | Direct |
Footnotes
- In connection with the spin-off of Aptevo Therapeutics Inc. from Emergent BioSolutions Inc, on August 1, 2016 the reporting person received a grant of restricted stock units as a result of an adjustment to an existing Emergent restricted stock unit grant held by the reporting person prior to the spin-off. The restricted stock units vest in May 2017.
- In connection with the spin-off on August 1, 2016 the reporting person received a grant of restricted stock units as a result of an adjustment to an existing Emergent restricted stock unit grant held by the reporting person prior to the spin-off. The restricted stock units vest in May 2017 and May 2018.
- In connection with the spin-off the reporting person received a grant of restricted stock units as a result of an adjustment to an existing Emergent restricted stock unit grant held by the reporting person prior to the spin-off. The restricted stock units vest in May 2017, May 2018 and May 2019.
- This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by Dr. Bailey.
- The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.50 to $30.68, inclusive.
- In connection with the spin-off on August 1, 2016, the reporting person received a grant of additional stock options as a result of an adjustment to preserve the pre-spin intrinsic value of an existing stock option grant. The adjustments included an adjustment to the stock option price of the grant.
- Consists of an option granted under the company's stock incentive plan as amended and restated. The grant was made prior to the spin-off.
- The option grant vests in three equal installments on the day prior to the first, second and third anniversary dates of the grant.
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