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