Filing Details
- Accession Number:
- 0001209191-16-111768
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-04-01 17:34:14
- Reporting Period:
- 2016-03-30
- Filing Date:
- 2016-04-01
- Accepted Time:
- 2016-04-01 17:34:14
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1000694 | Novavax Inc | NVAX | Biological Products, (No Disgnostic Substances) (2836) | 222816046 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1342826 | C Stanley Erck | C/O Novavax, Inc. 20 Firstfield Road Gaithersburg MD 20878 | President And Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-03-30 | 198,009 | $1.28 | 301,066 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-03-30 | 198,009 | $5.19 | 103,057 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-03-31 | 201,991 | $1.28 | 305,048 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-03-31 | 226,769 | $5.18 | 78,279 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to buy) | Disposition | 2016-03-30 | 198,009 | $0.00 | 198,009 | $1.28 |
| Common Stock | Stock Option (Right to buy) | Disposition | 2016-03-31 | 201,991 | $0.00 | 201,991 | $1.28 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 701,991 | 2022-03-01 | No | 4 | M | Direct | |
| 500,000 | 2022-03-01 | No | 4 | M | Direct |
Footnotes
- The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.08 to $5.24, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
- The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.09 to $5.32, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
- The 198,009 shares exercised on 03/30/2016 pursuant to this stock option vested on 03/01/2013.
- Of the 201,991 shares exercised on 03/31/2016 pursuant to this stock option, 26,991 shares vested on 03/01/2013, and the remaining 175,000 shares vested on 03/01/2014.
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