-----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, EuNXEeHR4WJxYK+L1ONymiRXRwx6mKLzqaCrOD8A6ztragqkrpCzyEy8EXpcOtoE x1Lki0KXzq5Y4QvYNBAOsw== 0001005794-03-000060.txt : 20030228 0001005794-03-000060.hdr.sgml : 20030228 20030228152805 ACCESSION NUMBER: 0001005794-03-000060 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030227 FILED AS OF DATE: 20030228 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: SJ STRATEGIC INVESTMENTS LLC CENTRAL INDEX KEY: 0001200378 RELATIONSHIP: OWNER IRS NUMBER: 300060195 FILING VALUES: FORM TYPE: 4 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26770 FILM NUMBER: 03586552 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 4 1 f4jmg022803.txt STATEMENT OF BENEFICIAL OWNERSHIP U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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 [ ] 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* SJ STRATEGIC INVESTMENTS, LLC - -------------------------------------------------------------------------------- (Last) (First) (Middle) 340 EDGEMONT AVENUE, SUITE 500 - -------------------------------------------------------------------------------- (Street) BRISTOL, TN 37620 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol NOVAVAX, INC. (NVAX) ================================================================================ 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) ================================================================================ 4. Statement for Month/Day/Year 02/27/2003 ================================================================================ 5. If Amendment, Date of Original (Month/Day/Year) ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ X ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) ================================================================================ 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 Acquired, Disposed of, or Beneficially Owned ================================================================================
5. 6. 4. Amount of Owner- Securities Acquired (A) or Securities ship 2A. 3. Disposed of (D) Beneficially Form: 7. Deemed Transaction (Instr. 3, 4 and 5) Owned Follow- Direct Nature of 2. Execution Code ------------------------------- ing Reported (D) or Indirect 1. Transaction Date, if (Instr. 8) (A) Transaction Indirect Beneficial Title of Security Date any ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 02/27/03 N/A P 15,339 A $4.0969 5,772,339 (1) (1) - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
* If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Page 1 of 4 FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. Number of 10. Deriv- Owner- ative ship 2. Secur- of Conver- 5. 7. ities Deriv- 11. sion Number of Title and Amount Bene- ative Nature of Derivative 6. of Underlying 8. ficially Secur- of Exer- 3A. 4. Securities Date Securities Price Owned ity: In- cise 3. Deemed Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of Follow- Direct direct Price Trans- Execu- action or Disposed Expiration Date ---------------- Deriv- ing (D) or Bene- 1. of action tion Code of(D) (Month/Day/Year) Amount ative Reported In- ficial Title of Deriv- Date Date, (Instr. (Instr. 3, ---------------- or Secur- Trans- direct Owner- Derivative ative (Month/ (Month/ 8) 4 and 5) Date Expira- Number ity action(s)(I) ship Security Secur- Day/ Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
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 may also be deemed to be the indirect beneficial owner of the shares as a result of her financial interest in SJSI. SJ Strategic Investment, LLC By: /s/ John M. Gregory 02/28/2003 ----------------------------------------- ----------------------- Managing Member Date **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 procedures. Alternatively, this Form is permitted to be submitted to the Commission in electronic format at the option of the reporting person pursuant to Rule 101(b)(4) of Regulation S-T. 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 27, 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 27, 2003 Signature: /s/ Joan P. Gregory ------------------------------------- Page 4 of 4 -----END PRIVACY-ENHANCED MESSAGE-----