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Filing Details

Accession Number:: 0001209191-20-052525
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-09-30 21:28:11
Reporting Period:: 2020-09-28

Accepted Time:: 2020-09-30 21:28:11
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
1468534	John Trizzino	C/O Novavax, Inc. 21 Firstfield Road Gaithersburg MD 20878	Evp, Cbo And Cfo	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2020-09-28	25,000	$5.95	48,408	No	4	M	Direct
Common Stock	Acquisiton	2020-09-28	4,600	$5.95	53,008	No	4	M	Direct
Common Stock	Disposition	2020-09-28	247	$111.18	52,761	No	4	D	Direct
Common Stock	Disposition	2020-09-28	2,103	$111.18	50,658	No	4	F	Direct
Common Stock	Disposition	2020-09-28	276	$107.22	50,383	No	4	S	Direct
Common Stock	Disposition	2020-09-28	3,739	$108.20	46,643	No	4	S	Direct
Common Stock	Disposition	2020-09-28	6,661	$109.07	39,982	No	4	S	Direct
Common Stock	Disposition	2020-09-28	8,133	$109.98	31,849	No	4	S	Direct
Common Stock	Disposition	2020-09-28	2,343	$110.97	29,506	No	4	S	Direct
Common Stock	Disposition	2020-09-28	216	$111.92	29,291	No	4	S	Direct
Common Stock	Disposition	2020-09-28	727	$113.02	28,564	No	4	S	Direct
Common Stock	Disposition	2020-09-28	401	$113.81	28,163	No	4	S	Direct
Common Stock	Disposition	2020-09-28	1,003	$115.23	27,160	No	4	S	Direct
Common Stock	Disposition	2020-09-28	951	$116.08	26,210	No	4	S	Direct
Common Stock	Disposition	2020-09-28	551	$117.07	25,658	No	4	S	Direct
Common Stock	Disposition	2020-09-29	5,485	$106.04	20,173	No	4	S	Direct
Common Stock	Disposition	2020-09-29	5,653	$107.05	14,520	No	4	S	Direct
Common Stock	Disposition	2020-09-29	4,751	$108.08	9,769	No	4	S	Direct
Common Stock	Disposition	2020-09-29	2,432	$109.12	7,337	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	D	Direct
No	4	F	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (Right to Buy)	Disposition	2020-09-28	25,000	$0.00	25,000	$5.95
Common Stock	Stock Appreciation Right	Disposition	2020-09-28	4,600	$0.00	4,600	$5.95

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
75,000		2029-09-26	No	4	M	Direct
13,800		2029-09-26	No	4	M	Direct

Footnotes

The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
The reporting person received 2,250 shares of common stock upon the net exercise of 4,600 stock appreciation rights. The reporting person forfeited 247 shares of common stock underlying the stock appreciation rights representing the base value and 2,103 shares of common stock underlying the stock appreciation rights to satisfy the withholding tax obligations resulting from the exercise, using the closing stock price on September 28, 2020 of $111.18.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $106.61 to $107.60, inclusive. The reporting person undertakes to provide to Novavax, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased 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 $107.61 to $108.60, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased 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 $108.61 to $109.60, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased 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 $109.61 to $110.60, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased 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 $110.61 to $111.60, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased 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 $111.61 to $112.60, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased 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 $112.61 to $113.60, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased 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 $113.61 to $114.60, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased 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 $114.61 to $115.60, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased 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 $115.61 to $116.60, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased 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 $116.61 to $117.60, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased 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 $105.61 to $106.50, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased 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 $106.54 to $107.53, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased 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 $107.57 to $108.57, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased 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 $108.64 to $109.52, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.
Twenty-five percent (25%) of the shares subject to this option grant vested on the first anniversary of the September 26, 2019 grant date (the "Grant Date"), and the remaining seventy-five percent (75%) of the shares will vest in equal monthly installments over the following three (3) years, in each case subject to continued employment through such vesting date.
Twenty-five percent (25%) of the shares subject to this stock appreciation right grant vested on the first anniversary of the Grant Date, and the remaining seventy-five percent (75%) of the shares will vest in equal monthly installments over the following three (3) years, in each case subject to continued employment through such vesting date.