0001209191-22-051471.txt : 20220928 0001209191-22-051471.hdr.sgml : 20220928 20220928170057 ACCESSION NUMBER: 0001209191-22-051471 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220926 FILED AS OF DATE: 20220928 DATE AS OF CHANGE: 20220928 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Herrmann John A III CENTRAL INDEX KEY: 0001610928 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26770 FILM NUMBER: 221276827 MAIL ADDRESS: STREET 1: C/O NOVAVAX, INC. STREET 2: 20 FIRSTFIELD ROAD CITY: GAITHERSBURG STATE: MD ZIP: 20878 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 2022-09-26 0 0001000694 NOVAVAX INC NVAX 0001610928 Herrmann John A III C/O NOVAVAX, INC. 21 FIRSTFIELD ROAD GAITHERSBURG MD 20878 0 1 0 0 EVP, Chief Legal Officer Common Stock 2022-09-26 4 M 0 3973 A 8373 D Common Stock 2022-09-26 4 F 0 1324 18.87 D 7049 D Common Stock 2022-09-26 4 M 0 667 A 3642 I By spouse Common Stock 2022-09-26 4 F 0 258 18.87 D 3384 I By spouse Restricted Stock Units 2022-09-26 4 M 0 3973 0.00 D Common Stock 3973 0 D Restricted Stock Units 2022-09-26 4 M 0 667 0.00 D Common Stock 667 0 I By spouse Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. 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. The RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested with respect to one-third (1/3) of the RSUs on each of the first three (3) anniversaries of the September 26, 2019 grant date (the "Grant Date"), in each case subject to continued employment through such vesting date. The RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested with respect to one-third (1/3) of the RSUs on each of the first three (3) anniversaries of the Grant Date, in each case subject to continued service with the Company through such vesting date. /s/ John A. Herrmann III 2022-09-28