|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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 Option (right to buy) | $ 14.41 | 11/05/2012 | A | 23,062 | (4) | 11/04/2019 | Common Stock | 23,062 | $ 0 | 23,062 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kramer Robert 2273 RESEARCH BLVD SUITE 400 ROCKVILLE, MD 20850 |
CFO |
/s/Robert G. Kramer | 01/18/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Mr. Kramer's direct holdings include restricted stock units granted under the Second Amended and Restated Emergent BioSolutions Inc. 2006 Stock Incentive Plan and shares distributed from BioPharm, L.L.C. to Mr. Kramer through RKRAMER L.L.C. |
(2) | Mr. Kramer is the general manager of RKRAMER, L.L.C., which holds 21.01% of the equity interest in BioPharm, L.L.C. BioPharm, L.L.C. is the direct owner of 856,043 shares of Common Stock. Mr. Kramer disclaims beneficial ownership of these shares for purposes of Section 16, except to the extent of his pecuniary interest in 181,746 units in BioPharm L.L.C. held directly through RKRAMER L.L.C. |
(3) | These restricted stock units vest in three equal annual installments beginning on the first anniversary of the date of grant, assuming continued service with the company. Each restricted stock unit 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. |
(4) | Exercisable in three equal installments on November 4, 2013, November 4, 2014 and November 4, 2015 |