0000904454-19-000658.txt : 20190930 0000904454-19-000658.hdr.sgml : 20190930 20190930165918 ACCESSION NUMBER: 0000904454-19-000658 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: Trizzino John CENTRAL INDEX KEY: 0001468534 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26770 FILM NUMBER: 191126623 MAIL ADDRESS: STREET 1: 9920 BELWARD CAMPUS DRIVE CITY: ROCKVILLE STATE: MD ZIP: 20850 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 0001468534 Trizzino John C/O NOVAVAX, INC. 20 FIRSTFIELD ROAD GAITHERSBURG MD 20878 0 1 0 0 SVP, CBO and CFO Restricted Stock Units 2019-09-26 4 A 0 31900 0 A Common Stock 31900 31900 D Restricted Stock Units 2019-09-26 4 A 0 10613 0 A Common Stock 10613 10613 D Stock Appreciation Right 5.95 2019-09-26 4 A 0 18400 0 A 2029-09-26 Common Stock 18400 18400 D Stock Option (Right to Buy) 5.95 2019-09-26 4 A 0 100000 0 A 2029-09-26 Common Stock 100000 100000 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"), will vest one (1) year from the September 26, 2019 grant date (the "Grant Date"), subject to continued employment with the Company through the vesting date. One-third (1/3) of the RSUs subject to this grant under the Plan will vest on each of the first three (3) anniversaries of the Grant Date, subject to continued employment through such vesting date. 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. Twenty-five percent (25%) of the shares subject to this option 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. /s/ John A. Herrmann III, Attorney-in-Fact 2019-09-30