0001209191-22-061699.txt : 20221216
0001209191-22-061699.hdr.sgml : 20221216
20221216170048
ACCESSION NUMBER: 0001209191-22-061699
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20221214
FILED AS OF DATE: 20221216
DATE AS OF CHANGE: 20221216
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: 221468688
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
2022-12-14
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
2022-12-14
4
M
0
6966
A
38812
D
Common Stock
2022-12-14
4
F
0
2320
17.23
D
36492
D
Restricted Stock Units
2022-12-14
4
M
0
6966
0.00
D
Common Stock
6966
6967
D
The shares were received by the Reporting Person in connection with vesting of restricted stock units ("RSUs").
Each RSU represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.
The shares were withheld by the Company to satisfy tax withholding obligations in connection with the vesting of RSUs.
The shares reported on this Form 4 are subject to a lock-up agreement between the Reporting Person, J.P. Morgan Securities LLC and Jefferies LLC, dated December 14, 2022.
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 December 14, 2020 grant date, in each case subject to continued employment through such vesting date.
/s/ John A. Herrmann III, Attorney-in-Fact
2022-12-16