0001209191-23-018545.txt : 20230314 0001209191-23-018545.hdr.sgml : 20230314 20230314171658 ACCESSION NUMBER: 0001209191-23-018545 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230306 FILED AS OF DATE: 20230314 DATE AS OF CHANGE: 20230314 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Glenn Gregory M CENTRAL INDEX KEY: 0001342823 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26770 FILM NUMBER: 23732015 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 2023-03-06 0 0001000694 NOVAVAX INC NVAX 0001342823 Glenn Gregory M C/O NOVAVAX, INC. 21 FIRSTFIELD ROAD GAITHERSBURG MD 20878 0 1 0 0 President, R&D Common Stock 2023-03-06 4 P 0 3000 7.4845 A 11473 D Common Stock 2023-03-07 4 P 0 2000 7.044 A 13473 D Common Stock 2023-03-10 4 P 0 1000 6.50 A 14473 D Common Stock 2023-03-10 4 M 0 6298 6.52 A 20771 D Common Stock 2023-03-10 4 F 0 2432 6.52 D 18339 D Restricted Stock Units 2023-03-10 4 M 0 6298 0.00 D Common Stock 6298 12596 D The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.2658 to $7.65, inclusive. The reporting person undertakes to provide to Novavax, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Includes 464 shares acquired on January 31, 2023 under the Company's Amended and Restated 2013 Employee Stock Purchase Plan, as amended. The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.0089 to $7.0594, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, 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 purchased in multiple transactions at prices ranging from $6.45 to $6.55, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. 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 the Company common stock. 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 March 10, 2022 grant date, in each case subject to continued employment through such vesting date. /s/ John A. Herrmann III, Attorney-in-Fact 2023-03-14