0001209191-21-019275.txt : 20210309
0001209191-21-019275.hdr.sgml : 20210309
20210309193811
ACCESSION NUMBER: 0001209191-21-019275
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210305
FILED AS OF DATE: 20210309
DATE AS OF CHANGE: 20210309
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: 21727688
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
2021-03-05
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
2021-03-05
4
M
0
417
27.60
A
704
D
Common Stock
2021-03-05
4
M
0
521
46.00
A
1225
D
Common Stock
2021-03-05
4
M
0
2083
5.95
A
3308
D
Common Stock
2021-03-05
4
S
0
72
150.3117
D
3236
D
Common Stock
2021-03-05
4
S
0
150
152.3945
D
3086
D
Common Stock
2021-03-05
4
S
0
312
153.2446
D
2774
D
Common Stock
2021-03-05
4
S
0
185
154.0024
D
2589
D
Common Stock
2021-03-05
4
S
0
135
155.6403
D
2454
D
Common Stock
2021-03-05
4
S
0
160
157.08
D
2294
D
Common Stock
2021-03-05
4
S
0
101
159.0235
D
2193
D
Common Stock
2021-03-05
4
S
0
172
160.8222
D
2021
D
Common Stock
2021-03-05
4
S
0
162
163.5294
D
1859
D
Common Stock
2021-03-05
4
S
0
263
166.4787
D
1596
D
Common Stock
2021-03-05
4
S
0
167
167.7295
D
1429
D
Common Stock
2021-03-05
4
S
0
91
168.8922
D
1338
D
Common Stock
2021-03-05
4
S
0
336
170.2549
D
1002
D
Common Stock
2021-03-05
4
S
0
314
171.2331
D
688
D
Common Stock
2021-03-05
4
S
0
203
172.2375
D
485
D
Common Stock
2021-03-05
4
S
0
186
173.5374
D
299
D
Common Stock
2021-03-05
4
S
0
12
175.16
D
287
D
Common Stock
2021-03-05
4
M
0
383
5.95
A
670
D
Common Stock
2021-03-05
4
D
0
14
174.84
D
656
D
Common Stock
2021-03-05
4
F
0
179
174.84
D
477
D
Common Stock
2021-03-09
4
S
0
190
168.09
D
287
D
Stock Option (Right to Buy)
27.60
2021-03-05
4
M
0
417
0.00
D
2027-12-15
Common Stock
417
4175
D
Stock Option (Right to Buy)
46.00
2021-03-05
4
M
0
521
0.00
D
2028-12-13
Common Stock
521
11465
D
Stock Option (Right to Buy)
5.95
2021-03-05
4
M
0
2083
0.00
D
2029-09-26
Common Stock
2083
64584
D
Stock Appreciation Right
5.95
2021-03-05
4
M
0
383
0.00
D
2029-09-26
Common Stock
383
11884
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 $150.31 to $150.32, 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 $151.73 to $152.60, 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 $152.785 to $153.60, 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 $153.88 to $154.72, 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 $154.99 to $155.87, 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 $156.46 to $157.43, 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 $158.50 to $159.35, 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 $160.59 to $161.18, 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 $163.12 to $163.94, 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 $166.21 to $166.98, 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 $167.29 to $167.87, 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 $168.75 to $169.61, 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.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $169.75 to $170.74, 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 $170.76 to $171.57, 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 $171.81 to $172.61, 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.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $172.82 to $173.79, 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 190 shares of common stock upon the net exercise of 383 stock appreciation rights. The reporting person forfeited 14 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 March 5, 2021 of $174.84.
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
2021-03-09