FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/12/2014 |
3. Issuer Name and Ticker or Trading Symbol
NOVAVAX INC [ NVAX ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 7,664 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to buy) | (1) | 04/15/2020 | Common Stock | 75,000 | $2.66 | D | |
Employee Stock Option (Right to buy) | (2) | 03/10/2021 | Common Stock | 20,000 | $2.5 | D | |
Employee Stock Option (Right to buy) | (3) | 03/01/2022 | Common Stock | 150,000 | $1.28 | D | |
Employee Stock Option (Right to buy) | (4) | 03/02/2023 | Common Stock | 150,000 | $1.83 | D | |
Employee Stock Option (Right to buy) | (5) | 03/06/2024 | Common Stock | 150,000 | $6.05 | D |
Explanation of Responses: |
1. This option is exercisable in four equal annual installments. The first installment became exercisable on April 15, 2011, and the next three installments became exercisable on April 15, 2012, April 15, 2013, and April 15, 2014. |
2. This option is exercisable in four equal annual installments. The first installment became exercisable on March 10, 2012, the next two installments became exercisable on March 10, 2013 and March 10, 2014, and the next installment becomes exercisable on March 10, 2015. |
3. This option is exercisable in four equal annual installments. The first installment became exercisable on March 1, 2013, the next installment became exercisable on March 1, 2014, and the next two installments become exercisable on March 1, 2015 and March 1, 2016. |
4. This option is exercisable in four equal annual installments. The first installment became exercisable on March 2, 2014, and the next three installments become exercisable on March 2, 2015, March 2, 2016, and March 2, 2017. |
5. This option is exercisable in four equal annual installments. The first installment becomes exercisable on March 6, 2015, and the next three installments become exercisable on March 6, 2016, March 6, 2017, and March 6, 2018. |
Remarks: |
/s/ John A. Herrmann III | 06/17/2014 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** 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 is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |