Home > Insider Trading > Filing (0001209191-21-025908)

Filing Details

Accession Number:: 0001209191-21-025908
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-04-07 17:09:54
Reporting Period:: 2021-04-05

Accepted Time:: 2021-04-07 17:09:54
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, Chief Commercial Officer	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2021-04-05	417	$27.60	704	No	4	M	Direct
Common Stock	Acquisiton	2021-04-05	521	$46.00	1,225	No	4	M	Direct
Common Stock	Acquisiton	2021-04-05	2,083	$5.95	3,308	No	4	M	Direct
Common Stock	Disposition	2021-04-05	3,021	$190.10	287	No	4	S	Direct
Common Stock	Acquisiton	2021-04-05	383	$177.29	670	No	4	M	Direct
Common Stock	Disposition	2021-04-05	13	$177.29	657	No	4	D	Direct
Common Stock	Disposition	2021-04-05	179	$177.29	478	No	4	F	Direct
Common Stock	Disposition	2021-04-07	191	$178.03	287	No	4	S	Direct

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

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (Right to Buy)	Disposition	2021-04-05	417	$0.00	417	$27.60
Common Stock	Stock Option (Right to Buy)	Disposition	2021-04-05	521	$0.00	521	$46.00
Common Stock	Stock Option (Right to Buy)	Disposition	2021-04-05	2,083	$0.00	2,083	$5.95
Common Stock	Stock Appreciation Right	Disposition	2021-04-05	383	$0.00	383	$5.95

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
3,758	2027-12-15	No	4	M	Direct
10,944	2028-12-13	No	4	M	Direct
62,501	2029-09-26	No	4	M	Direct
11,501	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 191 shares of common stock upon the net exercise of 383 stock appreciation rights. The reporting person forfeited 13 shares of common stock underlying the stock appreciation rights representing the base value and 179 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 April 5, 2021 of $177.29.
Twenty-five percent (25%) of the shares subject to this option grant under the Novavax, Inc. Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan") vested on the first anniversary of the December 15, 2017 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date.
Twenty-five percent (25%) of the shares subject to this option grant under the Plan vested on the first anniversary of the December 13, 2018 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date.
Twenty-five percent (25%) of the shares subject to this option grant under the Plan vested on the first anniversary of the September 26, 2019 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date.
Twenty-five percent (25%) of the shares subject to this stock appreciation right grant under the Plan vested on the first anniversary of the September 26, 2019 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date.