0001140361-17-002340.txt : 20170119 0001140361-17-002340.hdr.sgml : 20170119 20170119211549 ACCESSION NUMBER: 0001140361-17-002340 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170117 FILED AS OF DATE: 20170119 DATE AS OF CHANGE: 20170119 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Emergent BioSolutions Inc. CENTRAL INDEX KEY: 0001367644 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 141902018 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 400 PROFESSIONAL DR, SUITE 400 CITY: GAITHERSBURG STATE: MD ZIP: 20879 BUSINESS PHONE: 240-631-3200 MAIL ADDRESS: STREET 1: 400 PROFESSIONAL DR, SUITE 400 CITY: GAITHERSBURG STATE: MD ZIP: 20879 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Havey Adam CENTRAL INDEX KEY: 0001514588 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33137 FILM NUMBER: 17537411 MAIL ADDRESS: STREET 1: 2273 RESEARCH BLVD SUITE 400 CITY: ROCKVILLE STATE: MD ZIP: 20853 4 1 doc1.xml FORM 4 X0306 4 2017-01-17 0 0001367644 Emergent BioSolutions Inc. EBS 0001514588 Havey Adam 400 PROFESSIONAL DR, SUITE 400 GAITHERSBURG MD 20879 0 1 0 0 EVP, Biodefense Divison Common Stock 2016-08-01 4 J 0 452 0 A 41424 D Common Stock 2016-08-01 4 J 0 599 0 A 42023 D Common Stock 2016-08-01 4 J 0 748 0 A 42771 D Common Stock 2017-01-17 4 S 0 8438 29.7465 D 34333 D Stock Option (Right to buy) 22.03 2016-08-01 4 J 0 577 0 A 2018-03-14 Common Stock 577 6573 D Stock Option (Right to buy) 22.03 2016-08-01 4 J 0 1386 0 A 2018-03-14 Common Stock 1386 15770 D Stock Option (Right to buy) 25.62 2016-08-01 4 J 0 2709 0 A 2021-03-10 Common Stock 2709 30828 D Stock Option (Right to buy) 26.45 2016-08-01 4 J 0 1794 0 A 2022-03-09 Common Stock 1794 20414 D Stock Option (Right to buy) 30.86 2016-08-01 4 J 0 1495 0 A 2023-02-28 Common Stock 1495 17009 D 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 March 2017. 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 March 2017 and March 2018. 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 March 2017, March 2018 and March 2019. The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. Havey. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.48 to $30.15, inclusive. Consists of an option granted on 03/15/2011 under the company's stock incentive plan as amended and restated. 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. The option grant vests in three equal installments on the day prior to the first, second and third anniversary dates of the grant. Consists of an option granted on 03/11/2014 under the company's stock incentive plan as amended and restated. 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 on 03/10/2015 under the company's stock incentive plan as amended and restated. 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 on 03/01/2016 under the company's stock incentive plan as amended and restated. 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. /s/ Eric Burt, Attorney-in-fact 2017-01-19