0001209191-21-001380.txt : 20210105
0001209191-21-001380.hdr.sgml : 20210105
20210105173812
ACCESSION NUMBER: 0001209191-21-001380
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201231
FILED AS OF DATE: 20210105
DATE AS OF CHANGE: 20210105
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: YOUNG JAMES F
CENTRAL INDEX KEY: 0001219864
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-26770
FILM NUMBER: 21507417
MAIL ADDRESS:
STREET 1: ONE MEDIMMUNE WAY
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
2020-12-31
0
0001000694
NOVAVAX INC
NVAX
0001219864
YOUNG JAMES F
C/O NOVAVAX, INC.
21 FIRSTFIELD ROAD
GAITHERSBURG
MD
20878
1
0
0
0
Common Stock
2020-12-31
4
M
0
1000
50.00
A
1000
D
Common Stock
2020-12-31
4
M
0
10000
51.40
A
11000
D
Common Stock
2020-12-31
4
S
0
9000
112.9805
D
2000
D
Common Stock
2020-12-31
4
S
0
2000
113.595
D
0
D
Common Stock
2021-01-01
4
M
0
10000
A
10000
D
Common Stock
1500
I
By spouse
Stock Option (Right to Buy)
50.00
2020-12-31
4
M
0
1000
0.00
D
2011-09-10
2021-03-10
Common Stock
1000
0
D
Stock Option (Right to Buy)
51.40
2020-12-31
4
M
0
10000
0.00
D
2011-10-19
2021-04-19
Common Stock
10000
0
D
Restricted Stock Units
2021-01-01
4
M
0
10000
0.00
D
Common Stock
10000
10000
D
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $112.45 to $113.43, 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, 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 $113.47 to $113.78, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.
Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's common stock.
The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
Fifty percent (50%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on January 1, 2021, and the remaining fifty percent (50%) of the RSUs subject to this grant will vest on July 1, 2021, in each case subject to continued service on the Company's Board of Directors through the vesting date.
/s/ John A. Herrmann III, Attorney-in-Fact
2021-01-05