0001209191-23-038802.txt : 20230621 0001209191-23-038802.hdr.sgml : 20230621 20230621163912 ACCESSION NUMBER: 0001209191-23-038802 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230616 FILED AS OF DATE: 20230621 DATE AS OF CHANGE: 20230621 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dubovsky Filip CENTRAL INDEX KEY: 0001977361 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26770 FILM NUMBER: 231030418 MAIL ADDRESS: STREET 1: C/O NOVAVAX INC. STREET 2: 21 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 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2023-06-16 0 0001000694 NOVAVAX INC NVAX 0001977361 Dubovsky Filip C/O NOVAVAX, INC. 21 FIRSTFIELD ROAD GAITHERSBURG MD 20878 0 1 0 0 President, R&D Common Stock 42910 D Stock Option (Right to Buy) 0.00 2021-06-16 2030-06-16 Common Stock 15000 D Restricted Stock Units 0.00 Common Stock 4155 D Restricted Stock Units 0.00 Common Stock 1400 D Stock Option (Right to Buy) 0.00 2021-12-14 2030-12-14 Common Stock 12750 D Restricted Stock Units 0.00 Common Stock 2833 D Restricted Stock Units 0.00 Common Stock 12644 D Stock Option (Right to Buy) 0.00 2023-03-10 2032-03-10 Common Stock 24193 D Restricted Stock Units 0.00 Common Stock 10752 D Stock Option (Right to Buy) 0.00 2024-03-07 2033-03-07 Common Stock 67380 D Restricted Stock Units 0.00 Common Stock 58330 D Stock Option (Right to Buy) 0.00 2024-03-27 2033-03-27 Common Stock 50000 D Fifty percent (50%) of the shares subject to this option grant under the Novavax, Inc. (the "Company") Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"), vested on each of the first two (2) anniversaries of the June 16, 2020 grant date, subject to continued employment with the Company through such vesting date. The restricted stock units ("RSUs") subject to this grant under the Plan vested with respect to one-third (1/3) of the RSUs on each of the first three (3) anniversaries of the June 16, 2020 grant date, in each case subject to continued employment with the Company through such vesting date. The RSUs subject to this grant under the Plan vested or will vest with respect to one-third (1/3) of the RSUs on each of the first three (3) anniversaries of the November 5, 2020 grant date, in each case subject to continued employment with the Company 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 14, 2020 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, in each case subject to continued employment with the Company through such vesting date. The RSUs subject to this grant under the Plan vested or will vest with respect to one-third (1/3) of the RSUs on each of the first three (3) anniversaries of the December 14, 2020 grant date, in each case subject to continued employment with the Company through such vesting date. The RSUs subject to this grant under the Plan vested or will vest with respect to one-half (1/2) of the RSUs on each of the first two (2) anniversaries of the September 16, 2021 grant date, in each case subject to continued employment with the Company 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 March 10, 2022 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, in each case subject to continued employment with the Company through such vesting date. The RSUs subject to this grant under the Plan vested or will vest with respect to one-third (1/3) of the RSUs on each of the first three (3) anniversaries of the March 10, 2022 grant date, in each case subject to continued employment with the Company through such vesting date. Twenty-five percent (25%) of the shares subject to this option grant under the Plan will vest on the first anniversary of the March 7, 2023 grant date, and the remaining seventy-five percent (75%) of the shares will vest in equal monthly installments over the following three (3) years, in each case subject to continued employment with the Company through such vesting date. The RSUs subject to this grant under the Plan will vest with respect to one-third (1/3) of the RSUs on each of the first three (3) anniversaries of the March 7, 2023 grant date, in each case subject to continued employment with the Company through such vesting date. Twenty-five percent (25%) of the shares subject to this option grant under the Plan will vest on the first anniversary of the March 27, 2023 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, in each case subject to continued employment with the Company through such vesting date. Exhibit 24 - Power of Attorney /s/ John A. Herrmann III, Attorney-in-Fact 2023-06-21 EX-24 2 attachment1.htm EX-24 DOCUMENT

POWER OF ATTORNEY

	Know all by these presents, that the undersigned herereby consitutes and
appoints each of John C. Jacobs, James P. Kelly and John A. Herrmann III signing
singly, the undersigned's true and lawful attorney-in-fact to:

(1)	execute for and on behalf of the undersigned, in the undersigned's capacity
as an officer and/or director of Novavax, Inc. (the "Company"), Forms 3, 4, and
5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and
the rules thereunder;

(2)	do and perform any and all acts for and on behalf of the undersigned which
may be necessary or desirable to complete and execute any such Form 3, 4, or 5,
complete and execute any amendment or amendments thereto, and timely file such
form with the United States Securities and Exchange Commission and any stock
exchange or similar authority; and

(3)	take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit to,
in the best interest of, or legally required by, the undersigned, it being
understood that the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.

	The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this Power of Attorney and the rights and powers herein
granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in
serving in such capacity at the request of the undersigned, are not assuming,
nor is the Company assuming, any of the undersigned's responsibilities to comply
with, or the undersigned's liability under, Section 16 of the Securities
Exchange Act of 1934.

	This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4, and 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
foregoing attorneys-in-fact.

	IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of the date written below.



Signature: /s/ Filip Dubovsky

Print Name:  Filip Dubovsky

Print Date:  May 2, 2023