0001209191-21-045558.txt : 20210706
0001209191-21-045558.hdr.sgml : 20210706
20210706170346
ACCESSION NUMBER: 0001209191-21-045558
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210701
FILED AS OF DATE: 20210706
DATE AS OF CHANGE: 20210706
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: 211074957
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
2021-07-01
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
2021-07-01
4
M
0
15181
25.60
A
35676
D
Common Stock
2021-07-01
4
M
0
19879
36.60
A
55555
D
Common Stock
2021-07-01
4
M
0
17560
121.00
A
73115
D
Common Stock
2021-07-01
4
S
0
2046
209.2027
D
71069
D
Common Stock
2021-07-01
4
S
0
6105
210.0229
D
64964
D
Common Stock
2021-07-01
4
S
0
4117
211.0679
D
60847
D
Common Stock
2021-07-01
4
S
0
6419
212.1527
D
54428
D
Common Stock
2021-07-01
4
S
0
12703
213.071
D
41725
D
Common Stock
2021-07-01
4
S
0
12917
214.127
D
28808
D
Common Stock
2021-07-01
4
S
0
6984
214.9681
D
21824
D
Common Stock
2021-07-01
4
S
0
1329
215.6983
D
20495
D
Common Stock
2021-07-02
4
M
0
25120
36.60
A
45615
D
Common Stock
2021-07-02
4
M
0
27439
121.00
A
73054
D
Common Stock
2021-07-02
4
S
0
1970
210.2299
D
71084
D
Common Stock
2021-07-02
4
S
0
4242
211.2084
D
66842
D
Common Stock
2021-07-02
4
S
0
7616
212.2878
D
59226
D
Common Stock
2021-07-02
4
S
0
2355
213.3849
D
56871
D
Common Stock
2021-07-02
4
S
0
4466
214.7581
D
52405
D
Common Stock
2021-07-02
4
S
0
5190
215.7406
D
47215
D
Common Stock
2021-07-02
4
S
0
2994
216.9188
D
44221
D
Common Stock
2021-07-02
4
S
0
9969
217.8405
D
34252
D
Common Stock
2021-07-02
4
S
0
7423
218.7717
D
26829
D
Common Stock
2021-07-02
4
S
0
5031
219.7605
D
21798
D
Common Stock
2021-07-02
4
S
0
628
220.8006
D
21170
D
Common Stock
2021-07-02
4
S
0
675
221.5281
D
20495
D
Stock Option (Right to Buy)
25.60
2021-07-01
4
M
0
15181
0.00
D
2022-03-01
Common Stock
15181
0
D
Stock Option (Right to Buy)
36.60
2021-07-01
4
M
0
19879
0.00
D
2023-03-02
Common Stock
19879
25120
D
Stock Option (Right to Buy)
121.00
2021-07-01
4
M
0
17560
0.00
D
2024-03-06
Common Stock
17560
27439
D
Stock Option (Right to Buy)
36.60
2021-07-02
4
M
0
25120
0.00
D
2023-03-02
Common Stock
25120
0
D
Stock Option (Right to Buy)
121.00
2021-07-02
4
M
0
27439
0.00
D
2024-03-06
Common Stock
27439
0
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 $208.56 to $209.54,
inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., 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 $209.57 to $210.54,
inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., 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 $210.57 to $211.47,
inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., 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 $211.58 to $212.57,
inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., 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 $212.60 to $213.58,
inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., 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 $213.61 to $214.60,
inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., 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 $214.63 to $215.55,
inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., 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 $215.63 to $215.84,
inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., 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 $209.75 to $210.74, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., 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 $210.82 to $211.75, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., 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 $211.82 to $212.79, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., 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 $212.87 to $213.84, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., 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 $214.20 to $215.16, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., 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 $215.24 to $216.17, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., 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 $216.26 to $217.18, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., 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 $217.28 to $218.27, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., 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 $218.33 to $219.30, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., 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 $219.33 to $220.27, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., 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 $220.34 to $221.20, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., 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 $221.38 to $222.33, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., 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 shares subject to this option grant vested in four equal annual installments beginning on the first anniversary of the March 1, 2012 grant date.
The shares subject to this option grant vested in four equal annual installments beginning on the first anniversary of the March 2, 2013 grant date.
The shares subject to this option grant vested in four equal annual installments beginning on the first anniversary of the March 6, 2014 grant date.
/s/ John A. Herrmann III, Attorney-in-Fact
2021-07-06