-----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, CmWr9EVEP0TZmZtwubBCh98NP0lASO/b6vX9KQtz8PgrabVfhqJ1htBG7UYZACCv ajuics7XukAJqePSaC3Lqw== 0001170961-08-000016.txt : 20080804 0001170961-08-000016.hdr.sgml : 20080804 20080804134949 ACCESSION NUMBER: 0001170961-08-000016 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080731 FILED AS OF DATE: 20080804 DATE AS OF CHANGE: 20080804 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: 9920 BELWARD CAMPUS DRIVE CITY: ROCKVILLE STATE: MD ZIP: 20850 BUSINESS PHONE: 240-268-2000 MAIL ADDRESS: STREET 1: 9920 BELWARD CAMPUS DRIVE CITY: ROCKVILLE STATE: MD ZIP: 20850 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LAMBERT JOHN A CENTRAL INDEX KEY: 0001229443 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26770 FILM NUMBER: 08987445 BUSINESS ADDRESS: STREET 1: C/O CHIRON CORP STREET 2: 4560 HORTON STREET CITY: EMERYVILLE STATE: CA ZIP: 94608-2916 BUSINESS PHONE: 5109232910 4 1 primary_doc.xml PRIMARY DOCUMENT X0303 4 2008-07-31 0 0001000694 NOVAVAX INC nvax 0001229443 LAMBERT JOHN A C/O NOVAVAX, INC. 9920 BELWARD CAMPUS DRIVE ROCKVILLE MD 20850 1 0 0 0 Common Stock 2008-07-31 4 P 0 14746 A 114746 D Warrant - right to buy 3.62 2008-07-31 4 P 0 7373 A 2009-01-31 2013-07-31 Common Stock 7373 7373 D The reported securities are included within 14,746 Units purchased by the Reporting Person for $2.845 per Unit. Each Unit consists of one share of Common Stock and a warrant to purchase .5 shares of Common Stock. Includes a grant of 100,000 restricted stock units. The restricted stock units vest in five separate tranches of 20,000 units: (i) two tranches vest upon Novavax's achievement of certain performance criteria; (ii) one tranche vets upon Novavax's common stock achieving a market price of $6.00 per share, (iii) one tranche vests upon Novavax's common stock achieving a market price of $10.00 per share; and (iv) one tranche vests on March 7, 2010. /s/ Len Stigliano, as attorney-in-fact for John A. Lambert 2008-08-04 -----END PRIVACY-ENHANCED MESSAGE-----