0001209191-21-025908.txt : 20210407
0001209191-21-025908.hdr.sgml : 20210407
20210407170954
ACCESSION NUMBER: 0001209191-21-025908
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210405
FILED AS OF DATE: 20210407
DATE AS OF CHANGE: 20210407
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Trizzino John
CENTRAL INDEX KEY: 0001468534
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-26770
FILM NUMBER: 21812884
MAIL ADDRESS:
STREET 1: 9920 BELWARD CAMPUS DRIVE
CITY: ROCKVILLE
STATE: MD
ZIP: 20850
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
2021-04-05
0
0001000694
NOVAVAX INC
NVAX
0001468534
Trizzino John
C/O NOVAVAX, INC.
21 FIRSTFIELD ROAD
GAITHERSBURG
MD
20878
0
1
0
0
EVP, Chief Commercial Officer
Common Stock
2021-04-05
4
M
0
417
27.60
A
704
D
Common Stock
2021-04-05
4
M
0
521
46.00
A
1225
D
Common Stock
2021-04-05
4
M
0
2083
5.95
A
3308
D
Common Stock
2021-04-05
4
S
0
3021
190.10
D
287
D
Common Stock
2021-04-05
4
M
0
383
177.29
A
670
D
Common Stock
2021-04-05
4
D
0
13
177.29
D
657
D
Common Stock
2021-04-05
4
F
0
179
177.29
D
478
D
Common Stock
2021-04-07
4
S
0
191
178.03
D
287
D
Stock Option (Right to Buy)
27.60
2021-04-05
4
M
0
417
0.00
D
2027-12-15
Common Stock
417
3758
D
Stock Option (Right to Buy)
46.00
2021-04-05
4
M
0
521
0.00
D
2028-12-13
Common Stock
521
10944
D
Stock Option (Right to Buy)
5.95
2021-04-05
4
M
0
2083
0.00
D
2029-09-26
Common Stock
2083
62501
D
Stock Appreciation Right
5.95
2021-04-05
4
M
0
383
0.00
D
2029-09-26
Common Stock
383
11501
D
The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
The reporting person received 191 shares of common stock upon the net exercise of 383 stock appreciation rights. The reporting person forfeited 13 shares of common stock underlying the stock appreciation rights representing the base value and 179 shares of common stock underlying the stock appreciation rights to satisfy the withholding tax obligations resulting from the exercise, using the closing stock price on April 5, 2021 of $177.29.
Twenty-five percent (25%) of the shares subject to this option grant under the Novavax, Inc. Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan") vested on the first anniversary of the December 15, 2017 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date.
Twenty-five percent (25%) of the shares subject to this option grant under the Plan vested on the first anniversary of the December 13, 2018 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date.
Twenty-five percent (25%) of the shares subject to this option grant under the Plan vested on the first anniversary of the September 26, 2019 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date.
Twenty-five percent (25%) of the shares subject to this stock appreciation right grant under the Plan vested on the first anniversary of the September 26, 2019 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date.
/s/ John A. Herrmann III, Attorney-in-Fact
2021-04-07