0000904454-19-000652.txt : 20190930 0000904454-19-000652.hdr.sgml : 20190930 20190930164831 ACCESSION NUMBER: 0000904454-19-000652 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190926 FILED AS OF DATE: 20190930 DATE AS OF CHANGE: 20190930 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Erck Stanley C CENTRAL INDEX KEY: 0001342826 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26770 FILM NUMBER: 191126518 MAIL ADDRESS: STREET 1: 20 FIRSTFIELD ROAD, #250 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 edgar.xml PRIMARY DOCUMENT X0306 4 2019-09-26 0001000694 NOVAVAX INC NVAX 0001342826 Erck Stanley C C/O NOVAVAX, INC. 20 FIRSTFIELD ROAD GAITHERSBURG MD 20878 1 1 0 0 President and CEO Stock Option (Right to Buy) 5.95 2019-09-26 4 A 0 100000 0 A 2029-09-26 Common Stock 100000 100000 D Stock Appreciation Right 5.95 2019-09-26 4 A 0 100000 0 A 2029-09-26 Common Stock 100000 100000 D Restricted Stock Units 2019-09-26 4 A 0 19638 0 A Common Stock 19638 100000 D 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"), will vest on the first anniversary of the September 26, 2019 grant date (the "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 through such vesting date and subject to shareholder approval of an increase in the number of shares available for issuance under the Plan. Twenty-five percent (25%) of the shares subject to this stock appreciation right grant under the Plan will vest on the first anniversary of the 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 through such vesting date and subject to shareholder approval of an increase in the number of shares available for issuance under the Plan. 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 Plan will vest one (1) year from the Grant Date, subject to continued employment with the Company through the vesting date. /s/ John A. Herrmann III, Attorney-in-Fact 2019-09-30