0001209191-20-030893.txt : 20200520 0001209191-20-030893.hdr.sgml : 20200520 20200520163529 ACCESSION NUMBER: 0001209191-20-030893 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200518 FILED AS OF DATE: 20200520 DATE AS OF CHANGE: 20200520 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: 20898592 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 doc4.xml FORM 4 SUBMISSION X0306 4 2020-05-18 0 0001000694 NOVAVAX INC NVAX 0001610928 Herrmann John A III C/O NOVAVAX, INC. 21 FIRSTFIELD ROAD GAITHERSBURG MD 20878 0 1 0 0 SVP, General Counsel Common Stock 2020-05-18 4 M 0 7499 25.60 A 7774 D Common Stock 2020-05-18 4 S 0 7499 49.44 D 275 D Common Stock 2020-05-18 4 M 0 5462 27.00 A 5737 D Common Stock 2020-05-18 4 S 0 5462 49.44 D 275 D Stock Option (Right to buy) 25.60 2020-05-18 4 M 0 7499 0.00 D 2022-03-01 Common Stock 7499 0 D Stock Option (Right to buy) 27.00 2020-05-18 4 M 0 5462 0.00 D 2026-11-14 Common Stock 5462 787 D The shares subject to this option grant under the Novavax, Inc. 2005 Stock Incentive Plan, as amended, vested in four equal annual installments on the first four anniversaries of the March 1, 2012 grant date. Twenty-five percent (25%) of the shares subject to this option grant under the Novavax, Inc. 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the November 14, 2016 grant date, and the remaining seventy-five percent (75%) of the shares vested in equal monthly installments over the following three years. /s/ John A. Herrmann III 2020-05-20