0001209191-22-061705.txt : 20221216
0001209191-22-061705.hdr.sgml : 20221216
20221216170227
ACCESSION NUMBER: 0001209191-22-061705
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: Herrmann John A III
CENTRAL INDEX KEY: 0001610928
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-26770
FILM NUMBER: 221468716
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
2022-12-14
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
2022-12-14
4
M
0
2100
A
9149
D
Common Stock
2022-12-14
4
F
0
700
17.23
D
8449
D
Common Stock
3384
I
By spouse
Restricted Stock Units
2022-12-14
4
M
0
2100
0.00
D
Common Stock
2100
2100
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 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 December 14, 2020 grant date, in each case subject to continued employment through such vesting date.
/s/ John A. Herrmann III
2022-12-16