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