-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, FDDucekCG6p01sIfevPGXjFgFMfU3u5HP4eQwQXi2Os0MJpI8WPNjtWx4yl0dJbM nPa4s8oU2eHMER3n7yiDQg== 0000919574-00-000479.txt : 20000406 0000919574-00-000479.hdr.sgml : 20000406 ACCESSION NUMBER: 0000919574-00-000479 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000331 FILED AS OF DATE: 20000405 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-26770 FILM NUMBER: 594343 BUSINESS ADDRESS: STREET 1: 8320 GUILFORD RD STREET 2: SUITE C CITY: COLUMBIA STATE: MD ZIP: 21046 BUSINESS PHONE: 3078543900 MAIL ADDRESS: STREET 1: 8320 GUILFORD ROAD SUITE C CITY: COLUMBIA STATE: MD ZIP: 21046 COMPANY DATA: COMPANY CONFORMED NAME: KELLY MITCHELL J CENTRAL INDEX KEY: 0001021873 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 730 FIFTH AVENUE 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2125741286 MAIL ADDRESS: STREET 1: 730 FIFTH AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 4 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). 1. Name and Address of Reporting Person Mitchell J. Kelly c/o Anaconda Capital Management, LLC 730 Fifth Avenue, 15th Floor New York, New York 10019 2. Issuer Name and Ticker or Trading Symbol Novavax, Inc. (NOX) 3. IRS Number of Reporting Person (Voluntary) 4. Statement for Month/Year 3/00 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s)to Issuer (Check all applicable) (X) Director (X) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) Chief Executive Officer 7. Individual or Joint/Group Filing (check Applicable Line) X Form filed by One Reporting Person Form filed by More than One Reporting Person
TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED 1. Title of Security| 2. Transaction| 3. Transaction| 4. Securities | 5. Amount of | 6. Ownership |7. Nature of | (Instr. 3) | Date | Code | Acquired (A) | Securities | Form: | Indirect | | | (Instr. 8) | or Disposed | Beneficially | Direct (D) | Beneficial| | (Month/ | | of (D) | Owned at End | or Indirect| Ownership | | Day/ | | (Instr. 3,4, | of Month | (I) | (Instr. 4)| | Year) | | and 5) | (Instr. 3 and 4)| (Instr. 4) | | | | | | |(A) or| | | | | | | Code | V | Amount|(D) |Price| | | | _________________________________________________________________________________________________________________________________ Common Stock 3/13/97 P 1,200,000 (A)$4.25 (I) (4) Common Stock 4/14/99 P 220,000 (A)$2.50 (I) (4) Common Stock 12/23/99 A 19,139 (A)$0 (D) Common Stock 3/10/00 M 659,090 (A)$5.46 (I) (4) Common Stock 3/10/00 M 193,680 (A)$0 2,314,809 (I) (4) - ---------------------------------------------------------------------------------------------------------------------------------
TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED 1. Title of | 2. Conver- | 3. Trans- | 4. Trans- | 5. Number of | 6. Date Exer- | 7. Title and Amount | Derivative | sion or | action | action | Derivative | cisable and | of Underlying | Security | Exercise | Date | Code | Securities | Expiration | Securities | (Instr. 3) | Price of | (Month/ | (Instr. | Acquired | Date | (Instr. 3 and 4) | | Deri- | Date/ | 8) | (A) or | (Month/Day/ | | | vative | Year) | | Disposed of | Year) | | | Security | | | (D) (Instr. | | | | | | | 3, 4 and 5) | | | | | |____________|_________________|___________________|_____________________| | | | | | | | | | | | | | | | | | | Date | Expira- | | Amount or | | | | | | | | Exer- | tion | | Number of | | | | Code | V | (A) | (D) | cisable | Date | Title | Shares | ___________________|_____________|____________|______|_____|________|________|_________|_________|________|____________| | | | | | | | | | | | l l l l l l l l l l l Options $5.00 12/31/97 A 10,000 currently 12/31/07 Common 10,000 Stock Options $1.94 12/31/98 A 10,000 currently 12/31/08 Common 10,000 Stock Options $3.625 8/17/99 A 30,000 currently 8/17/09 Common 30,000 Stock Options $5.625 12/31/99 A 10,000 7/01/00 12/31/09 Common 10,000 Stock Warrants $6.00 3/13/97 P 600,000 currently 3/12/00 Common 600,000 Stock Warrants $8.00 3/13/97 P 600,000 currently 3/12/00 Common 600,000 Stock Warrants $3.75 4/14/99 P 55,000 currently 4/14/02 Common 55,000 Stock Warrants $5.78 4/14/99 J(1) 22,905 currently 3/12/00 Common 22,905 Stock Warrants $7.70 4/14/99 J(1) 22,905 currently 3/12/00 Common 22,905 Stock Warrants $5.46 2/02/00 J(1) 36,185 currently 3/12/00 Common 36,185 Stock Warrants $7.28 2/02/00 J(1) 36,185 currently 3/12/00 Common 36,185 Stock Warrants $3.544 2/02/00 J(1) 3,192 currently 4/14/02 Common 3,192 Stock Warrants 3/10/00 M 659,090 Common 659,090 Stock Warrants 3/10/00 M(2) 659,090 Common 193,680(3) Stock
| 8. Price of | 9. Number of | 10. Ownership | 11. Nature of | | Derivative | derivative | Form of | Indirect | | Security | Securities | Derivative | Beneficial | | (Instr. 5) | Benefi- | Security | Ownership | | | cially | Direct (D) | (Instr. 4) | | | Owned at | or Indirect | | | | End of | (I) (Instr. | | | | Month | 4) | | | | (Instr. 4) | | | $0 (D) $0 (D) $0 (D) $0 80,000 (I) (4) $0 (I) (4) $0 (I) (4) $0 (I) (4) $0 (I) (4) $0 (D) $0 (I) (4) $0 (I) (4) $0 (I) (4) $5.46 (I) (4) 58,192
Explanation of Responses: (1) Warrants amount adjusted per the Company's private placement (2) Cashless exercise (3) Shares reduced due to Cashless exercise (4) By limited partnership of which Mr. Kelly is the Managing General Partner of the General Partner. Mr. Kelly disclaims ownership except to the extent of his pecuniary interest therein. Signature of Reporting Person: Mitchell J. Kelly /s/ Mitchell J. Kelly ___________________________ Mitchell J. Kelly Date: April 3, 2000 ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is sufficient, see Instruction 6 for procedure. 01474003.AC2 -----END PRIVACY-ENHANCED MESSAGE-----