SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
El-Hibri Fuad

(Last) (First) (Middle)
400 PROFESSIONAL DRIVE, SUITE 400

(Street)
GAITHERSBURG MD 20879

(City) (State) (Zip)
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 X 10% Owner
X Officer (give title below) Other (specify below)
Chairman
3. Date of Earliest Transaction (Month/Day/Year)
02/27/2018
4. If Amendment, Date of Original Filed (Month/Day/Year)
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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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 02/27/2018 M 9,794 A (1) 1,540,010 D
Common Stock 02/27/2018 F 2,385 D $49.64 1,537,625 D
Common Stock 02/28/2018 M 9,723 A (1) 1,547,348 D
Common Stock 02/28/2018 F 2,368 D $49.97 1,544,980 D
Common Stock 4,344,250(2) I By Intervac, L.L.C.
Common Stock 1,524,155(3) I By Biovac, L.L.C.
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 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: 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
Restrictive Stock Units (1) 02/27/2018 A 19,288 (4) (4) Common Stock 19,288 $0.00 81,352 D
Employee Stock Options (Right to Buy) $49.64 02/27/2018 A 38,577 (5) 02/26/2025 Common Stock 38,577 $0.00 38,577 D
Restrictive Stock Units (1) 02/27/2018 M 9,794 (6) (6) Common Stock 9,794 $0.00 71,558 D
Restrictive Stock Units (1) 02/28/2018 M 9,723 (7) (7) Common Stock 9,723 $0.00 61,835 D
Explanation of Responses:
1. Restricted stock units convert into common stock on a one-for-one basis.
2. Mr. El-Hibri's wife, individually, and Mr. and Mrs. El-Hibri, as tenants by the entirety, collectively hold an aggregate 40.65% equity interest in Intervac, L.L.C., which in turn is the direct owner of 4,344,250 shares of the Issuer's common stock. Mr. El-Hibri disclaims beneficial ownership of the shares of the Issuer's common stock directly owned by Intervac, L.L.C. for purposes of Section 16 of the Exchange Act or otherwise, except to the extent of his pecuniary interest therein.
3. Mr. El-Hibri, individually, and Mr. and Mrs. El-Hibri, as tenants by the entirety, collectively hold an aggregate 89.2% equity interest in Biovac, L.L.C, which in turn is the direct owner of 1,524,155 shares of the Issuer's common stock. Mr. El-Hibri disclaims beneficial ownership of the shares of the Issuer's common stock directly owned by Biovac, L.L.C. for purposes of Section 16 of the Exchange Act or otherwise, except to the extent of his pecuniary interest therein.
4. On February 27, 2018, Mr. El-Hibri was granted 19,288 restricted stock units vesting in three equal annual installments beginning on the day prior to the anniversary of the grant date.
5. On February 27, 2018, Mr. El-Hibri was granted 38,577 stock options vesting in three equal annual installments beginning on the day prior to the anniversary of the grant date.
6. On February 28, 2017, Mr. El-Hibri was granted 29,382 restricted stock units vesting in three equal annual installments beginning on the day prior to the anniversary of the grant date.
7. On March 1, 2016, Mr. El-Hibri was granted 29,167 restricted stock units (after giving effect to the adjustment in connection with the Issuer's spin-off of Aptevo Therapeutics Inc.) vesting in three equal annual installments beginning on the day prior to the anniversary of the grant date.
Remarks:
/s/ Carl A. Valenstein, attorney-in-fact 03/01/2018
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
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