0001209191-21-009027.txt : 20210209
0001209191-21-009027.hdr.sgml : 20210209
20210209194044
ACCESSION NUMBER: 0001209191-21-009027
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210205
FILED AS OF DATE: 20210209
DATE AS OF CHANGE: 20210209
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Trizzino John
CENTRAL INDEX KEY: 0001468534
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-26770
FILM NUMBER: 21608596
MAIL ADDRESS:
STREET 1: 9920 BELWARD CAMPUS DRIVE
CITY: ROCKVILLE
STATE: MD
ZIP: 20850
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NOVAVAX INC
CENTRAL INDEX KEY: 0001000694
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 222816046
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 21 FIRSTFIELD ROAD
CITY: GAITHERSBURG
STATE: MD
ZIP: 20878
BUSINESS PHONE: 240-268-2000
MAIL ADDRESS:
STREET 1: 21 FIRSTFIELD ROAD
CITY: GAITHERSBURG
STATE: MD
ZIP: 20878
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2021-02-05
0
0001000694
NOVAVAX INC
NVAX
0001468534
Trizzino John
C/O NOVAVAX, INC.
21 FIRSTFIELD ROAD
GAITHERSBURG
MD
20878
0
1
0
0
EVP, Chief Commercial Officer
Common Stock
2021-02-05
4
M
0
417
27.60
A
704
D
Common Stock
2021-02-05
4
M
0
521
46.00
A
1225
D
Common Stock
2021-02-05
4
M
0
2084
5.95
A
3309
D
Common Stock
2021-02-05
4
S
0
19
282.0032
D
3290
D
Common Stock
2021-02-05
4
S
0
1020
283.5012
D
2270
D
Common Stock
2021-02-05
4
S
0
25
284.82
D
2245
D
Common Stock
2021-02-05
4
S
0
30
287.03
D
2215
D
Common Stock
2021-02-05
4
S
0
55
289.4455
D
2160
D
Common Stock
2021-02-05
4
S
0
57
290.8644
D
2103
D
Common Stock
2021-02-05
4
S
0
117
291.7875
D
1986
D
Common Stock
2021-02-05
4
S
0
272
292.9057
D
1714
D
Common Stock
2021-02-05
4
S
0
405
293.9594
D
1309
D
Common Stock
2021-02-05
4
S
0
625
295.0458
D
684
D
Common Stock
2021-02-05
4
S
0
238
296.0137
D
446
D
Common Stock
2021-02-05
4
S
0
104
296.9642
D
342
D
Common Stock
2021-02-05
4
S
0
30
297.82
D
312
D
Common Stock
2021-02-05
4
S
0
25
298.80
D
287
D
Common Stock
2021-02-05
4
M
0
384
5.95
A
671
D
Common Stock
2021-02-05
4
D
0
8
290.18
D
663
D
Common Stock
2021-02-05
4
F
0
182
290.18
D
481
D
Common Stock
2021-02-09
4
S
0
194
324.50
D
287
D
Stock Option (Right to Buy)
27.60
2021-02-05
4
M
0
417
0.00
D
2027-12-15
Common Stock
417
4592
D
Stock Option (Right to Buy)
46.00
2021-02-05
4
M
0
521
0.00
D
2028-12-13
Common Stock
521
11986
D
Stock Option (Right to Buy)
5.95
2021-02-05
4
M
0
2084
0.00
D
2029-09-26
Common Stock
2084
66667
D
Stock Appreciation Right
5.95
2021-02-05
4
M
0
384
0.00
D
2029-09-26
Common Stock
384
12267
D
The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $282.00 to $282.02, 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.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $283.46 to $284.24, 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.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $289.15 to $289.80, 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.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $290.35 to $291.17, 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.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $291.36 to $292.32, 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.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $292.41 to $293.30, 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.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $293.43 to $294.32, 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.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $294.5350 to $295.53, 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.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $295.56 to $296.47, 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.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $296.66 to $297.38, 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.
The reporting person received 194 shares of common stock upon the net exercise of 384 stock appreciation rights. The reporting person forfeited 8 shares of common stock underlying the stock appreciation rights representing the base value and 182 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 February 5, 2021 of $290.18.
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.
/s/ John A. Herrmann III, Attorney-in-Fact
2021-02-09