0001209191-23-058988.txt : 20231218 0001209191-23-058988.hdr.sgml : 20231218 20231218170921 ACCESSION NUMBER: 0001209191-23-058988 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231214 FILED AS OF DATE: 20231218 DATE AS OF CHANGE: 20231218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Herrmann John A III CENTRAL INDEX KEY: 0001610928 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26770 FILM NUMBER: 231494646 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] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 222816046 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 700 QUINCE ORCHARD ROAD CITY: GAITHERSBURG STATE: MD ZIP: 20878 BUSINESS PHONE: 240-268-2000 MAIL ADDRESS: STREET 1: 700 QUINCE ORCHARD ROAD CITY: GAITHERSBURG STATE: MD ZIP: 20878 4 1 doc4.xml FORM 4 SUBMISSION X0508 4 2023-12-14 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 0 Common Stock 2023-12-14 4 M 0 2100 A 13933 D Common Stock 2023-12-14 4 F 0 700 5.69 D 13233 D Restricted Stock Units 2023-12-14 4 M 0 2100 0.00 D Common Stock 2100 0 D Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax common stock. The shares were withheld by the Company to satisfy tax withholding obligations in connection with the vesting of RSUs. 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 December 14, 2020 grant date, in each case subject to continued employment with the Company through such vesting date. /s/ Mark Casey, Attorney-in-Fact 2023-12-18