Filing Details
- Accession Number:
- 0001209191-21-001380
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-01-05 17:38:12
- Reporting Period:
- 2020-12-31
- Accepted Time:
- 2021-01-05 17:38:12
- 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 |
|---|---|---|---|---|---|---|---|
| 1219864 | F James Young | C/O Novavax, Inc. 21 Firstfield Road Gaithersburg MD 20878 | Yes | No | 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 | 2020-12-31 | 1,000 | $50.00 | 1,000 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-12-31 | 10,000 | $51.40 | 11,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-12-31 | 9,000 | $112.98 | 2,000 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-12-31 | 2,000 | $113.60 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-01-01 | 10,000 | $0.00 | 10,000 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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 | 2020-12-31 | 1,000 | $0.00 | 1,000 | $50.00 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-12-31 | 10,000 | $0.00 | 10,000 | $51.40 |
| Common Stock | Restricted Stock Units | Disposition | 2021-01-01 | 10,000 | $0.00 | 10,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2011-09-10 | 2021-03-10 | No | 4 | M | Direct |
| 0 | 2011-10-19 | 2021-04-19 | No | 4 | M | Direct |
| 10,000 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,500 | Indirect | By spouse |
Footnotes
- The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $112.45 to $113.43, 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, 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 $113.47 to $113.78, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.
- Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's common stock.
- The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
- Fifty percent (50%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on January 1, 2021, and the remaining fifty percent (50%) of the RSUs subject to this grant will vest on July 1, 2021, in each case subject to continued service on the Company's Board of Directors through the vesting date.
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