0001140361-17-002344.txt : 20170119 0001140361-17-002344.hdr.sgml : 20170119 20170119213344 ACCESSION NUMBER: 0001140361-17-002344 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: Bailey Sue CENTRAL INDEX KEY: 0001403769 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33137 FILM NUMBER: 17537422 MAIL ADDRESS: STREET 1: 400 PROFESSIONAL DRIVE STREET 2: SUITE 400 CITY: GAITHERSBURG STATE: MD ZIP: 20850 4 1 doc1.xml FORM 4 X0306 4 2017-01-17 0 0001367644 Emergent BioSolutions Inc. EBS 0001403769 Bailey Sue 400 PROFESSIONAL DR, SUITE 400 GAITHERSBURG MD 20879 1 0 0 0 Common Stock 2016-08-01 4 J 0 152 0.0 A 34637 D Common Stock 2016-08-01 4 J 0 604 0.00 A 35241 D Common Stock 2016-08-01 4 J 0 577 0.00 A 35818 D Common Stock 2017-01-17 4 M 0 3157 10.64 A 38975 D Common Stock 2017-01-17 4 S 0 3157 29.7789 D 35818 D Common Stock 2017-01-17 4 M 0 3157 14.71 A 38975 D Common Stock 2017-01-17 4 S 0 3157 29.7789 D 35818 D Common Stock 2017-01-17 4 M 0 3157 20.08 A 38975 D Common Stock 2017-01-17 4 S 0 3157 29.7789 D 35818 D Common Stock 2017-01-17 4 M 0 4735 13.37 A 40553 D Common Stock 2017-01-17 4 S 0 4735 29.7789 D 35818 D Common Stock 2017-01-17 4 M 0 3157 13.00 A 38975 D Common Stock 2017-01-17 4 S 0 3157 29.7789 D 35818 D Common Stock 2017-01-17 4 M 0 2061 18.64 A 37879 D Common Stock 2017-01-17 4 S 0 2061 29.7789 D 35818 D Stock Option (Right to buy) 10.64 2016-08-01 4 J 0 277 0 A 2019-05-20 Common Stock 277 3157 D Stock Option (Right to buy) 10.64 2017-01-17 4 M 0 3157 0 D 2019-05-20 Common Stock 3157 0 D Stock Option (Right to buy) 14.71 2016-08-01 4 J 0 277 0 A 2020-05-19 Common Stock 277 3157 D Stock Option (Right to buy) 14.71 2017-01-17 4 M 0 3157 0 D 2020-05-19 Common Stock 3157 0 D Stock Option (Right to buy) 20.08 2016-08-01 4 J 0 416 0 A 2021-05-18 Common Stock 416 4736 D Stock Option (Right to buy) 20.08 2017-01-17 4 M 0 3157 0 D 2021-05-18 Common Stock 3157 1579 D Stock Option (Right to buy) 13.37 2016-08-01 4 J 0 693 0 A 2019-05-16 Common Stock 693 7893 D Stock Option (Right to buy) 13.37 2017-01-17 4 M 0 4735 0 D 2019-05-16 Common Stock 4735 3158 D Stock Option (Right to buy) 13.00 2016-08-01 4 J 0 693 0 A 2020-05-22 Common Stock 693 7893 D Stock Option (Right to buy) 13.00 2017-01-17 4 M 0 3157 0 D 2020-05-22 Common Stock 3157 4736 D Stock Option (Right to buy) 18.64 2016-08-01 4 J 0 905 0 A 2021-05-21 Common Stock 905 10305 D Stock Option (Right to buy) 18.64 2017-01-17 4 M 0 2061 0 D 2021-05-21 Common Stock 2061 8244 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 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. /s/ Eric Burt, Attorney-in-fact 2017-01-19