Statement of Changes in Beneficial Ownership (4)
May 11 2021 - 4:19PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
SULLIVAN LOUIS W |
2. Issuer Name and Ticker or Trading Symbol
Emergent BioSolutions Inc.
[
EBS
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
400 PROFESSIONAL DR, SUITE 400 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/10/2021 |
(Street)
GAITHERSBURG, MD 20879
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 5/10/2021 | | M | | 10305 | A | $18.64 | 43063 | D | |
Common Stock (1) | 5/10/2021 | | F | | 3118 | D | $61.62 | 39945 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Options (Right to Buy) (2) | $18.64 | 5/10/2021 | | M | | | 10305 | 5/21/2017 (3) | 5/21/2021 | Common Stock | 10305.0 | $0 | 0 | D | |
Explanation of Responses: |
(1) | Consists of shares owned by the reporting person and delivered to the issuer to satisfy the reporting persons exercise price for the reported stock option exercise. |
(2) | Consists of an option granted under the company's stock incentive plan as amended and restated. |
(3) | The option vested in three equal installments in May 2015, May 2016 and May 2017. Each option represents the right of the reporting person to receive one share of common stock of Emergent BioSolutions Inc., subject to adjustment as provided in the grant agreement. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
SULLIVAN LOUIS W 400 PROFESSIONAL DR, SUITE 400 GAITHERSBURG, MD 20879 | X |
|
|
|
Signatures
|
/s/ Scott Lieberman, Attorney-in-fact | | 5/11/2021 |
**Signature of Reporting Person | Date |
Emergent Biosolutions (NYSE:EBS)
Historical Stock Chart
From Mar 2024 to Apr 2024
Emergent Biosolutions (NYSE:EBS)
Historical Stock Chart
From Apr 2023 to Apr 2024