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