0001209191-21-057940.txt : 20210928
0001209191-21-057940.hdr.sgml : 20210928
20210928170449
ACCESSION NUMBER: 0001209191-21-057940
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210926
FILED AS OF DATE: 20210928
DATE AS OF CHANGE: 20210928
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Herrmann John A III
CENTRAL INDEX KEY: 0001610928
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-26770
FILM NUMBER: 211288052
MAIL ADDRESS:
STREET 1: C/O NOVAVAX, INC.
STREET 2: 20 FIRSTFIELD ROAD
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
2021-09-26
0
0001000694
NOVAVAX INC
NVAX
0001610928
Herrmann John A III
C/O NOVAVAX, INC.
21 FIRSTFIELD ROAD
GAITHERSBURG
MD
20878
0
1
0
0
EVP, Chief Legal Officer
Common Stock
2021-09-26
4
M
0
3973
A
4679
D
Common Stock
2021-09-26
4
F
0
1919
248.16
D
2760
D
Common Stock
2021-09-26
4
M
0
666
A
1969
I
By spouse
Common Stock
2021-09-26
4
F
0
222
248.16
D
1747
I
By spouse
Restricted Stock Units
2021-09-26
4
M
0
3973
0.00
D
Common Stock
3973
3973
D
Restricted Stock Units
2021-09-26
4
M
0
666
0.00
D
Common Stock
666
667
I
By spouse
Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") 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.
The RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested or will vest with respect to one-third (1/3) of the RSUs on each of the first three (3) anniversaries of the September 26, 2019 grant date (the "Grant Date"), in each case subject to continued employment through such vesting date.
The RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested or will vest with respect to one-third (1/3) of the RSUs on each of the first three (3) anniversaries of the Grant Date, in each case subject to continued service with the Company through such vesting date.
/s/ John A. Herrmann III
2021-09-28