0001209191-23-036741.txt : 20230613 0001209191-23-036741.hdr.sgml : 20230613 20230613164320 ACCESSION NUMBER: 0001209191-23-036741 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230610 FILED AS OF DATE: 20230613 DATE AS OF CHANGE: 20230613 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alton Gregg H CENTRAL INDEX KEY: 0001334682 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26770 FILM NUMBER: 231011776 MAIL ADDRESS: STREET 1: 333 LAKESIDE DRIVE CITY: FOSTER CITY STATE: CA ZIP: 94404 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 X0407 4 2023-06-10 0 0001000694 NOVAVAX INC NVAX 0001334682 Alton Gregg H C/O NOVAVAX, INC. 21 FIRSTFIELD ROAD GAITHERSBURG MD 20878 1 0 0 0 0 Common Stock 2023-06-10 4 M 0 3100 A 3800 D Restricted Stock Units 2023-06-10 4 M 0 3100 0.00 D Common Stock 3100 0 D Stock Option (Right to Buy) 7.78 2023-06-12 4 A 0 7710 0.00 A 2024-06-12 2033-06-12 Common Stock 7710 7710 D Restricted Stock Units 2023-06-12 4 A 0 6670 0.00 A Common Stock 6670 6670 D Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"), vested on the first anniversary of the June 10, 2022 grant date subject to continued service on the Company's Board of Directors through the vesting date. One hundred percent (100%) of the shares subject to this option grant under the the Plan will vest one (1) year from the June 12, 2023 grant date (the "Grant Date") subject to continued service on the Company's Board of Directors through the vesting date. One hundred percent (100%) of the RSUs subject to this grant under the Plan will vest one (1) year from the Grant Date subject to continued service on the Company's Board of Directors through the vesting date. /s/ John A. Herrmann III, Attorney-in-Fact 2023-06-13