Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Emergent BioSolutions Inc.EBS · Entity 5902 | EVP, Business Operations | June 09, 2023 | June 14, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Emergent BioSolutions Inc.
Report date June 09, 2023 · Filed June 14, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 174,398 |
Ending reported balance
After 2023-06-09 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-06-09 · Grant · Acquired 24,616 · Balance 125,167 F1: Consists of restricted stock units granted under the company's Stock Incentive Plan. These restricted stock units vest in three equal annual installments beginning on the day prior to the first anniversary of the date of grant, assuming continued service with the company or the day prior to the annual shareholder meeting; whichever is earlier. 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. Row 2 · 2023-06-09 · Grant · Acquired 49,231 · Balance 174,398 F2: Consists of performance stock units granted under the Emergent BioSolutions Inc. Stock Incentive Plan. Each PSU represents a right to receive one share of common stock. The PSUs vest upon achievement with respect to both cumulative revenues and adjusted EBITDA as a percentage of total GAAP revenue calculated on a cumulative basis over the three-year period beginning January 1, 2023 and ending December 31, 2025, as certified by the Compensation Committee following the performance period. The amount reported is based on the target performance payout factor, or 100%. |
| Employee Stock Option (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.39 · Expires 2030-06-08 | Direct | 161,906 |
Reported balance
After 2023-06-09 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-06-09 · Grant · Acquired 49,231 · Balance 161,906 F3: Vests in three equal installments beginning on the day prior to the anniversary date of the grant. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of restricted stock units granted under the company's Stock Incentive Plan. These restricted stock units vest in three equal annual installments beginning on the day prior to the first anniversary of the date of grant, assuming continued service with the company or the day prior to the annual shareholder meeting; whichever is earlier. 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.
F2: Consists of performance stock units granted under the Emergent BioSolutions Inc. Stock Incentive Plan. Each PSU represents a right to receive one share of common stock. The PSUs vest upon achievement with respect to both cumulative revenues and adjusted EBITDA as a percentage of total GAAP revenue calculated on a cumulative basis over the three-year period beginning January 1, 2023 and ending December 31, 2025, as certified by the Compensation Committee following the performance period. The amount reported is based on the target performance payout factor, or 100%.
F3: Vests in three equal installments beginning on the day prior to the anniversary date of the grant.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 28, 2017 Filed Mar 3, 2017 02:32 UTC | Emergent BioSolutions Inc. EBS · Entity 5902 | GrantEmployee Stock Option (right to buy · Derivative | 17,134 | $30.63 Strike: $30.63 | $524,814.42 |
DisclosureSEC source: 0001140361-17-010393 · doc1.xml · derivative · entry 4 Havey Adam · CIK 0001514588 · EVP, Biodefense Divison 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,134 Underlying: Common Stock · 17,134 shares Expires 2024-02-27 F4 · derivative.exercise_date: Vests in three equal installments on February 27, 2018, February 27, 2019 and February 27, 2020. Read SEC document |
| February 28, 2017 Filed Mar 3, 2017 02:32 UTC | Emergent BioSolutions Inc. EBS · Entity 5902 | Tax withholdingCommon Stock | 938 | $30.63 | $28,730.94 |
DisclosureSEC source: 0001140361-17-010393 · doc1.xml · nonDerivative · entry 3 Havey Adam · CIK 0001514588 · EVP, Biodefense Divison 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,965 F1 · security: Consists of restricted stock units granted under the Amended and Restated Emergent BioSolutions Inc. 2006 Stock Incentive Plan, as amended. Read SEC document |
| February 28, 2017 Filed Mar 3, 2017 02:32 UTC | Emergent BioSolutions Inc. EBS · Entity 5902 | GrantCommon Stock | 4,285 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-010393 · doc1.xml · nonDerivative · entry 2 Havey Adam · CIK 0001514588 · EVP, Biodefense Divison 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,903 F3 · shares: Consists of performance stock units granted under the Amended and Restated 2006 Emergent BioSolutions Inc. Stock Incentive Plan, as amended. Each PSU represents a right to receive one share of common stock. The PSUs vest upon achievement with respect to net income as a percentage of total revenue for the 2019 fiscal year, each as determined in accordance with GAAP, as certified by the Compensation Committee following the performance period. Read SEC document |
| February 28, 2017 Filed Mar 3, 2017 02:32 UTC | Emergent BioSolutions Inc. EBS · Entity 5902 | GrantCommon Stock | 4,285 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-010393 · doc1.xml · nonDerivative · entry 1 Havey Adam · CIK 0001514588 · EVP, Biodefense Divison 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,618 F1 · security: Consists of restricted stock units granted under the Amended and Restated Emergent BioSolutions Inc. 2006 Stock Incentive Plan, as amended. F2 · shares: These restricted stock units vest in three equal annual installments beginning on the day prior to 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. Read SEC document |
| January 17, 2017 Filed Jan 20, 2017 02:15 UTC | Emergent BioSolutions Inc. EBS · Entity 5902 | SaleCommon Stock | 8,438 | $29.75 | $251,000.97 |
DisclosureSEC source: 0001140361-17-002340 · doc1.xml · nonDerivative · entry 4 Havey Adam · CIK 0001514588 · EVP, Biodefense Divison 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,333 F4 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. Havey. F5 · price: 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. Read SEC document |
| August 01, 2016 Filed Jan 20, 2017 02:15 UTC | Emergent BioSolutions Inc. EBS · Entity 5902 | OtherStock Option (Right to buy) · Derivative | 1,495 | $0.00 Strike: $30.86 | $0.00 |
DisclosureSEC source: 0001140361-17-002340 · doc1.xml · derivative · entry 9 Havey Adam · CIK 0001514588 · EVP, Biodefense Divison 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,009 Underlying: Common Stock · 1,495 shares Expires 2023-02-28 F10 · security: 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. F7 · derivative.exercise_date: The option grant vests in three equal installments on the day prior to the first, second and third anniversary dates of the grant. Read SEC document |
| August 01, 2016 Filed Jan 20, 2017 02:15 UTC | Emergent BioSolutions Inc. EBS · Entity 5902 | OtherStock Option (Right to buy) · Derivative | 1,794 | $0.00 Strike: $26.45 | $0.00 |
DisclosureSEC source: 0001140361-17-002340 · doc1.xml · derivative · entry 8 Havey Adam · CIK 0001514588 · EVP, Biodefense Divison 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,414 Underlying: Common Stock · 1,794 shares Expires 2022-03-09 F9 · security: 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. F7 · derivative.exercise_date: The option grant vests in three equal installments on the day prior to the first, second and third anniversary dates of the grant. Read SEC document |
| August 01, 2016 Filed Jan 20, 2017 02:15 UTC | Emergent BioSolutions Inc. EBS · Entity 5902 | OtherStock Option (Right to buy) · Derivative | 2,709 | $0.00 Strike: $25.62 | $0.00 |
DisclosureSEC source: 0001140361-17-002340 · doc1.xml · derivative · entry 7 Havey Adam · CIK 0001514588 · EVP, Biodefense Divison 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,828 Underlying: Common Stock · 2,709 shares Expires 2021-03-10 F8 · security: 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. F7 · derivative.exercise_date: The option grant vests in three equal installments on the day prior to the first, second and third anniversary dates of the grant. Read SEC document |
| August 01, 2016 Filed Jan 20, 2017 02:15 UTC | Emergent BioSolutions Inc. EBS · Entity 5902 | OtherStock Option (Right to buy) · Derivative | 1,386 | $0.00 Strike: $22.03 | $0.00 |
DisclosureSEC source: 0001140361-17-002340 · doc1.xml · derivative · entry 6 Havey Adam · CIK 0001514588 · EVP, Biodefense Divison 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,770 Underlying: Common Stock · 1,386 shares Expires 2018-03-14 F6 · security: 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. F7 · derivative.exercise_date: The option grant vests in three equal installments on the day prior to the first, second and third anniversary dates of the grant. Read SEC document |
| August 01, 2016 Filed Jan 20, 2017 02:15 UTC | Emergent BioSolutions Inc. EBS · Entity 5902 | OtherStock Option (Right to buy) · Derivative | 577 | $0.00 Strike: $22.03 | $0.00 |
DisclosureSEC source: 0001140361-17-002340 · doc1.xml · derivative · entry 5 Havey Adam · CIK 0001514588 · EVP, Biodefense Divison 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,573 Underlying: Common Stock · 577 shares Expires 2018-03-14 F6 · security: 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. F7 · derivative.exercise_date: The option grant vests in three equal installments on the day prior to the first, second and third anniversary dates of the grant. Read SEC document |
| August 01, 2016 Filed Jan 20, 2017 02:15 UTC | Emergent BioSolutions Inc. EBS · Entity 5902 | OtherCommon Stock | 748 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-002340 · doc1.xml · nonDerivative · entry 3 Havey Adam · CIK 0001514588 · EVP, Biodefense Divison 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,771 F3 · security: 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. Read SEC document |
| August 01, 2016 Filed Jan 20, 2017 02:15 UTC | Emergent BioSolutions Inc. EBS · Entity 5902 | OtherCommon Stock | 599 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-002340 · doc1.xml · nonDerivative · entry 2 Havey Adam · CIK 0001514588 · EVP, Biodefense Divison 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,023 F2 · security: 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. Read SEC document |
| August 01, 2016 Filed Jan 20, 2017 02:15 UTC | Emergent BioSolutions Inc. EBS · Entity 5902 | OtherCommon Stock | 452 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-002340 · doc1.xml · nonDerivative · entry 1 Havey Adam · CIK 0001514588 · EVP, Biodefense Divison 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,424 F1 · security: 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.