0001209191-20-059196.txt : 20201118
0001209191-20-059196.hdr.sgml : 20201118
20201118180951
ACCESSION NUMBER: 0001209191-20-059196
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201116
FILED AS OF DATE: 20201118
DATE AS OF CHANGE: 20201118
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: 201326213
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
2020-11-16
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
2020-11-16
4
M
0
42499
39.80
A
62993
D
Common Stock
2020-11-16
4
M
0
9818
25.60
A
72811
D
Common Stock
2020-11-16
4
S
0
5766
87.2042
D
67045
D
Common Stock
2020-11-16
4
S
0
8306
88.36
D
58739
D
Common Stock
2020-11-16
4
S
0
11234
89.2566
D
47505
D
Common Stock
2020-11-16
4
S
0
4598
90.6128
D
42907
D
Common Stock
2020-11-16
4
S
0
17503
92.9721
D
25404
D
Common Stock
2020-11-16
4
S
0
4909
93.5613
D
20495
D
Stock Option (Right to buy)
39.80
2020-11-16
4
M
0
42499
0.00
D
2021-06-22
Common Stock
42499
0
D
Stock Option (Right to buy)
25.60
2020-11-16
4
M
0
9818
0.00
D
2022-03-01
Common Stock
9818
35182
D
The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.95 to $87.92, inclusive. The reporting person undertakes to provide to Novavax, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.95 to $88.89, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.97 to $89.96, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $89.99 to $90.90, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.21 to $93.205, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $93.21 to $93.78, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote
The shares subject to this option grant vested in four equal annual installments beginning on the first anniversary of the June 22, 2011 grant date.
The shares subject to this option grant vested in four equal annual installments beginning on the first anniversary of the March 1, 2012 grant date.
/s/ John A. Herrmann III, Attorney-in-Fact
2020-11-18