0001104659-20-078296.txt : 20200629 0001104659-20-078296.hdr.sgml : 20200629 20200629214056 ACCESSION NUMBER: 0001104659-20-078296 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200625 FILED AS OF DATE: 20200629 DATE AS OF CHANGE: 20200629 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: 201000072 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 tm2023760-4_4.xml OWNERSHIP DOCUMENT X0306 4 2020-06-25 0 0001000694 NOVAVAX INC NVAX 0001468534 Trizzino John C/O NOVAVAX, INC. 21 FIRSTFIELD ROAD GAITHERSBURG MD 20878 0 1 0 0 EVP, CBO and CFO Stock Option (Right to Buy) 5.95 2020-06-25 4 A 0 100000 0 A 2029-09-26 Common Stock 100000 100000 D Stock Appreciation Right 5.95 2019-09-26 4 A 0 18400 0 A 2029-09-26 Common Stock 18400 18400 D This option award was previously reported based on having been approved by the issuer's board of directors on September 26, 2019, but such award was subject to shareholder approval of an increase in the number of shares available for issuance under the Novavax, Inc. Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"). Such shareholder approval was received on June 25, 2020. Twenty-five percent (25%) of the shares subject to this option grant under the Plan will vest on the first anniversary of the September 26, 2019 grant date (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. Represents the previously reported September 26, 2019 stock appreciation right grant. The Form 4 filed by the reporting person on September 30, 2019 inadvertently stated that vesting of this grant was subject to shareholder approval of an increase in the number of shares available for issuance under the Plan. However, this grant was not subject to such shareholder approval. 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. /s/ John A. Herrmann III, Attorney-in-Fact 2020-06-29