0001209191-21-021528.txt : 20210317 0001209191-21-021528.hdr.sgml : 20210317 20210317183626 ACCESSION NUMBER: 0001209191-21-021528 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210315 FILED AS OF DATE: 20210317 DATE AS OF CHANGE: 20210317 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EVANS GARY C CENTRAL INDEX KEY: 0001191410 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26770 FILM NUMBER: 21752179 MAIL ADDRESS: STREET 1: 1048 TEXAN TRAIL CITY: GRAPEVINE STATE: TX ZIP: 76051 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 2021-03-15 0 0001000694 NOVAVAX INC NVAX 0001191410 EVANS GARY C C/O NOVAVAX, INC. 21 FIRSTFIELD ROAD GAITHERSBURG MD 20878 1 0 0 0 Common Stock 2021-03-15 4 M 0 2000 99.80 A 18099 D Common Stock 2021-03-15 4 M 0 4500 46.00 A 22599 D Common Stock 2021-03-15 4 M 0 18000 3.985 A 40599 D Common Stock 2021-03-15 4 S 0 9732 210.00 D 30867 D Common Stock 2021-03-15 4 S 0 14768 212.00 D 16099 D Common Stock 625 I By Evans 1997 Trust Stock Option (Right to Buy) 99.80 2021-03-15 4 M 0 2000 0.00 D 2016-09-15 2026-03-15 Common Stock 2000 0 D Stock Option (Right to Buy) 46.00 2021-03-15 4 M 0 4500 0.00 D 2019-12-13 2028-12-13 Common Stock 4500 0 D Stock Option (Right to Buy) 3.985 2021-03-15 4 M 0 18000 0.00 D 2020-12-12 2029-12-12 Common Stock 18000 0 D The reporting person indirectly beneficially owns 625 shares held by the Evans 1997 Trust. One hundred percent (100%) of the shares subject to this option grant under the Novavax, Inc. Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan") vested six (6) months from the March 15, 2016 grant date. One hundred percent (100%) of the shares subject to this option grant under the Plan vested one (1) year from the December 13, 2018 grant date. One hundred percent (100%) of the shares subject to this option grant under the Plan vested one (1) year from the December 12, 2019 grant date. /s/ John A. Herrmann III, Attorney-in-Fact 2021-03-17