-----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, GekJAnpRaqSnxl67FYJ0H7Phj0owp252HA1OCS29oXVgV3lMjeOecPOuh/lBRn1f x/9P+zPd0aGAvP0XicbUTA== 0001005794-03-000058.txt : 20030226 0001005794-03-000058.hdr.sgml : 20030226 20030226133805 ACCESSION NUMBER: 0001005794-03-000058 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030218 FILED AS OF DATE: 20030226 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: SJ STRATEGIC INVESTMENTS LLC CENTRAL INDEX KEY: 0001200378 RELATIONSHIP: OWNER IRS NUMBER: 300060195 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 340 EDGEMONT AVE STREET 2: SUITE 500 CITY: BRISTOL STATE: TN ZIP: 37620 BUSINESS PHONE: 4239897211 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26770 FILM NUMBER: 03580547 BUSINESS ADDRESS: STREET 1: 8320 GUILFORD RD STREET 2: STE C CITY: COLUMBIA STATE: MD ZIP: 21046 BUSINESS PHONE: 3078543900 MAIL ADDRESS: STREET 1: 8320 GUILFORD ROAD SUITE C STREET 2: 12111 PARKLAWN DR CITY: COLUMBIA STATE: MD ZIP: 21046 3 1 jgregoryf3nvax.txt INITIAL STATEMENT OF BENEFICIAL OWERNSHIP U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 - -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* SJ Strategic Investments, LLC - -------------------------------------------------------------------------------- (Last) (First) (Middle) 340 Edgemont Avenue, Suite 500 - -------------------------------------------------------------------------------- (Street) Bristol, TN 37620 - -------------------------------------------------------------------------------- (City) (State) (Zip) - -------------------------------------------------------------------------------- 2. Date of Event Requiring Statement (Month/Day/Year) February 18, 2003 - -------------------------------------------------------------------------------- 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) - -------------------------------------------------------------------------------- 4. Issuer Name and Ticker or Trading Symbol Novavax, Inc. (NVAX) - -------------------------------------------------------------------------------- 5. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [X] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) - -------------------------------------------------------------------------------- 6. If Amendment, Date of Original (Month/Day/Year) - -------------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check applicable line) [ ] Form Filed by One Reporting Person [X] Form Filed by More than One Reporting Person ================================================================================ Table I -- Non-Derivative Securities Beneficially Owned ================================================================================
3. Ownership Form: 2. Amount of Securities Direct (D) or 1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 5,757,000 (1) (1) - ------------------------------------------------------------------------------------------------------------------------------------
* If the Form is filed by more than one Reporting Person, see Instruction 5(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Page 1 of 4 FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 6. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Derivative Exer- tion of Derivative (I) Ownership Security (Instr. 4) cisable Date Title Shares Security Instr. 5) (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (1) Shares are owned directly by SJ Strategic Investments, LLC ("SJSI"), a ten percent owner of the issuer and indirectly by John M. Gregory, as the Managing Member of SJSI and due to his financial interests in SJSI. Joan P. Gregory is the indirect beneficial owner of a portion of the shares held by SJSI due to her financial interest in SJSI. SJ Strategic Investments, LLC /s/John M. Gregory February 26, 2003 ------------------------------------------- ------------------------ Managing Member, Date SJ Strategic Investments, LLC **Signature of Reporting Person ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 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 provided is insufficient, see Instruction 6 for procedure. Page 2 of 4 JOINT FILER INFORMATION Name: John M. Gregory Address: 340 Edgemont Avenue, Suite 500 Bristol, TN 37620 Designated Filer: SJ Strategic Investments, LLC Issuer & Ticker Symbol: Novavax, Inc. (NVAX) Date of Event Requiring Statement: February 18, 2003 Signature: /s/ John M. Gregory ------------------------------ Page 3 of 4 pages JOINT FILER INFORMATION Name: Joan P. Gregory Address: 340 Edgemont Avenue, Suite 500 Bristol, TN 37620 Designated Filer: SJ Strategic Investments, LLC Issuer & Ticker Symbol: Novavax, Inc. (NVAX) Date of Event Requiring Statement: February 18, 2003 Signature: /s/ Joan P. Gregory ------------------------------------- Page 4 of 4 -----END PRIVACY-ENHANCED MESSAGE-----