0001104659-20-078303.txt : 20200629
0001104659-20-078303.hdr.sgml : 20200629
20200629214430
ACCESSION NUMBER: 0001104659-20-078303
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: Glenn Gregory M
CENTRAL INDEX KEY: 0001342823
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-26770
FILM NUMBER: 201000093
MAIL ADDRESS:
STREET 1: 20 FIRSTFIELD ROAD, #250
CITY: GAITHERSBURG
STATE: MD
ZIP: 20878
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
tm2023760-2_4.xml
OWNERSHIP DOCUMENT
X0306
4
2020-06-25
0
0001000694
NOVAVAX INC
NVAX
0001342823
Glenn Gregory M
C/O NOVAVAX, INC.
21 FIRSTFIELD ROAD
GAITHERSBURG
MD
20878
0
1
0
0
President, R&D
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
66100
0
A
2029-09-26
Common Stock
66100
66100
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