Filing Details

Accession Number:
0001209191-14-076766
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-12-18 17:59:09
Reporting Period:
2014-12-16
Filing Date:
2014-12-18
Accepted Time:
2014-12-18 17:59:09
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
1191410 C Gary Evans C/O Novavax, Inc.
20 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 2014-12-16 15,000 $1.48 125,680 No 4 M Direct
Common Stock Acquisiton 2014-12-16 235,000 $1.03 360,680 No 4 M Direct
Common Stock Disposition 2014-12-16 46,701 $5.72 313,979 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M 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 2014-12-16 15,000 $0.00 15,000 $1.48
Common Stock Stock Option (Right to buy) Disposition 2014-12-16 35,000 $0.00 35,000 $1.03
Common Stock Stock Option (Right to buy) Disposition 2014-12-16 200,000 $0.00 20,000 $1.03
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2015-05-04 No 4 M Direct
0 2015-07-20 No 4 M Direct
0 2015-07-20 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 8,000 Indirect See footnote
Footnotes
  1. The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.70 to $5.745, 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.
  2. Includes 4,000 shares owned of record by Gary Evans Custodian for Dustin Evans UTMA/TX and 4,000 shares owned of record by Gary Evans Custodian for Casey Evans UTMA/TX.
  3. The 15,000 shares exercised on 12/16/2014 pursuant to this stock option vested on 11/04/2006.
  4. The 35,000 shares exercised on 12/16/2014 pursuant to this stock option vested on 01/20/2006.
  5. Of the 200,000 shares exercised on 12/16/2014 pursuant to this stock option, 50,000 shares vested when the market capitalization of Novavax, Inc. exceeded $150,000,000, 50,000 shares vested when the market capitalization of Novavax, Inc. exceeded $250,000,000, 50,000 shares vested when the market capitalization of Novavax, Inc. exceeded $350,000,000, and 50,000 shares vested when Novavax, Inc. successfully accomplished a specific strategic initiative.