0001104659-20-078318.txt : 20200630 0001104659-20-078318.hdr.sgml : 20200630 20200629215155 ACCESSION NUMBER: 0001104659-20-078318 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: Herrmann John A III CENTRAL INDEX KEY: 0001610928 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26770 FILM NUMBER: 201000173 MAIL ADDRESS: STREET 1: C/O NOVAVAX, INC. STREET 2: 20 FIRSTFIELD ROAD 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 tm2023761-1_4.xml OWNERSHIP DOCUMENT X0306 4 2020-06-25 0 0001000694 NOVAVAX INC NVAX 0001610928 Herrmann John A III C/O NOVAVAX, INC. 21 FIRSTFIELD ROAD GAITHERSBURG MD 20878 0 1 0 0 EVP, Chief Legal Officer Restricted Stock Units 2020-06-25 4 A 0 2500 0 A Common Stock 2500 2500 D Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. One-third (1/3) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan will vest on each of the first three (3) anniversaries of the June 25, 2020 grant date, subject to continued employment through each such vesting date. /s/ John A. Herrmann III 2020-06-29