0001209191-20-017726.txt : 20200310 0001209191-20-017726.hdr.sgml : 20200310 20200310165848 ACCESSION NUMBER: 0001209191-20-017726 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200308 FILED AS OF DATE: 20200310 DATE AS OF CHANGE: 20200310 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Erck Stanley C CENTRAL INDEX KEY: 0001342826 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26770 FILM NUMBER: 20702526 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 doc4.xml FORM 4 SUBMISSION X0306 4 2020-03-08 0 0001000694 NOVAVAX INC NVAX 0001342826 Erck Stanley C C/O NOVAVAX, INC. 21 FIRSTFIELD ROAD GAITHERSBURG MD 20878 1 1 0 0 President and CEO Common Stock 2020-03-08 4 M 0 6072 A 22486 D Common Stock 2020-03-08 4 F 0 1992 12.48 D 20494 D Restricted Stock Units 2020-03-08 4 M 0 6072 0.00 D Common Stock 6072 0 D Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on satisfaction of both (1) a time-based vesting requirement, pursuant to which one hundred percent (100%) of the RSUs vested on the first anniversary of the March 8, 2019 grant date subject to continued employment through such vesting date; and (2) a performance-based vesting requirement, pursuant to which one hundred percent (100%) of the RSUs vested based on the Company's achievement of a regulatory milestone associated with NanoFlu on or before September 30, 2019. /s/ John A. Herrmann III, Attorney-in-Fact 2020-03-10