Filing Details

Accession Number:
0001209191-21-023076
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-03-25 18:41:13
Reporting Period:
2021-03-23
Accepted Time:
2021-03-25 18:41:13
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 2021-03-23 10,000 $46.00 20,000 No 4 M Direct
Common Stock Disposition 2021-03-23 4,434 $227.43 15,566 No 4 S Direct
Common Stock Disposition 2021-03-23 3,120 $228.42 12,446 No 4 S Direct
Common Stock Disposition 2021-03-23 2,446 $229.41 10,000 No 4 S Direct
Common Stock Acquisiton 2021-03-25 10,000 $27.60 20,000 No 4 M Direct
Common Stock Acquisiton 2021-03-25 37,500 $3.99 57,500 No 4 M Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 M 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 2021-03-23 10,000 $0.00 10,000 $46.00
Common Stock Stock Option (Right to Buy) Disposition 2021-03-25 10,000 $0.00 10,000 $27.60
Common Stock Stock Option (Right to Buy) Disposition 2021-03-25 37,500 $0.00 37,500 $3.99
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2019-12-13 2028-12-13 No 4 M Direct
0 2018-12-15 2027-12-15 No 4 M Direct
0 2020-12-12 2029-12-12 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,500 Indirect By spouse
Footnotes
  1. The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $227.00 to $227.61, 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 purchased at each price within the range set forth in this footnote.
  2. The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $228.00 to $228.89, 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 purchased at each price within the range set forth in this footnote.
  3. The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $229.00 to $229.65, 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 purchased at each price within the range set forth in this footnote.
  4. 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.
  5. One hundred percent (100%) of the shares subject to this option grant under the Novavax, Inc. Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan") vested one (1) year from the December 13, 2018 grant date.
  6. One hundred percent (100%) of the shares subject to this option grant under the Plan vested one (1) year from the December 15, 2017 grant date.
  7. One hundred percent (100%) of the shares subject to this option grant under the Plan vested one (1) year from the December 12, 2019 grant date.