Form 4 for NVAX NOVAVAX INC
Accepted 2021-07-06 00:00:00 ET · period of report 2021-07-01 · accession 0001209191-21-045558 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-07-06 | 2021-07-01+ | NVAX | Erck Stanley C | Pres, CEO, Dir | S - Sale+OE | $214.38 | -105.2K | 21.2K | -83% | -$22.55M |
| DM | 2021-07-06 | 2021-07-01+ | NVAX | Erck Stanley C | Pres, CEO, Dir | M - OptEx | $71.12 | +105.2K | 73.1K | New | +$7.48M |
| DM | 2021-07-06 | 2021-07-01+ | NVAX | Erck Stanley C | Pres, CEO, Dir | M - OptEx | $0.00 | -105.2K | 27.4K | -79% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-07-02 | S | D | 675 | $221.53 | 20,495 | D | — | — | (F21) 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. |
| 2 | Common | Common Stock | 2021-07-02 | S | D | 9,969 | $217.84 | 34,252 | D | — | — | (F17) 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. |
| 3 | Common | Common Stock | 2021-07-02 | S | D | 5,031 | $219.76 | 21,798 | D | — | — | (F19) 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. |
| 4 | Common | Common Stock | 2021-07-01 | M | A | 15,181 | $25.60 | 35,676 | D | — | — | |
| 5 | Common | Common Stock | 2021-07-01 | M | A | 19,879 | $36.60 | 55,555 | D | — | — | |
| 6 | Common | Common Stock | 2021-07-01 | M | A | 17,560 | $121.00 | 73,115 | D | — | — | |
| 7 | Common | Common Stock | 2021-07-01 | S | D | 2,046 | $209.20 | 71,069 | D | — | — | (F2) 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. |
| 8 | Common | Common Stock | 2021-07-01 | S | D | 6,105 | $210.02 | 64,964 | D | — | — | (F3) 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. |
| 9 | Common | Common Stock | 2021-07-01 | S | D | 4,117 | $211.07 | 60,847 | D | — | — | (F4) 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. |
| 10 | Common | Common Stock | 2021-07-01 | S | D | 6,419 | $212.15 | 54,428 | D | — | — | (F5) 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. |
| 11 | Common | Common Stock | 2021-07-01 | S | D | 12,703 | $213.07 | 41,725 | D | — | — | (F6) 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. |
| 12 | Common | Common Stock | 2021-07-01 | S | D | 12,917 | $214.13 | 28,808 | D | — | — | (F7) 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. |
| 13 | Common | Common Stock | 2021-07-01 | S | D | 6,984 | $214.97 | 21,824 | D | — | — | (F8) 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. |
| 14 | Common | Common Stock | 2021-07-01 | S | D | 1,329 | $215.70 | 20,495 | D | — | — | (F9) 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. |
| 15 | Common | Common Stock | 2021-07-02 | M | A | 25,120 | $36.60 | 45,615 | D | — | — | |
| 16 | Common | Common Stock | 2021-07-02 | M | A | 27,439 | $121.00 | 73,054 | D | — | — | |
| 17 | Common | Common Stock | 2021-07-02 | S | D | 1,970 | $210.23 | 71,084 | D | — | — | (F10) 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. |
| 18 | Common | Common Stock | 2021-07-02 | S | D | 4,242 | $211.21 | 66,842 | D | — | — | (F11) 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. |
| 19 | Common | Common Stock | 2021-07-02 | S | D | 7,616 | $212.29 | 59,226 | D | — | — | (F12) 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. |
| 20 | Common | Common Stock | 2021-07-02 | S | D | 2,355 | $213.38 | 56,871 | D | — | — | (F13) 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. |
| 21 | Common | Common Stock | 2021-07-02 | S | D | 4,466 | $214.76 | 52,405 | D | — | — | (F14) 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. |
| 22 | Common | Common Stock | 2021-07-02 | S | D | 5,190 | $215.74 | 47,215 | D | — | — | (F15) 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. |
| 23 | Common | Common Stock | 2021-07-02 | S | D | 7,423 | $218.77 | 26,829 | D | — | — | (F18) 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. |
| 24 | Common | Common Stock | 2021-07-02 | S | D | 2,994 | $216.92 | 44,221 | D | — | — | (F16) 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. |
| 25 | Common | Common Stock | 2021-07-02 | S | D | 628 | $220.80 | 21,170 | D | — | — | (F20) 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. |
| 26 | Derivative | Stock Option (Right to Buy) | 2021-07-01 | M | D | 19,879 | $0.00 | 25,120 | D | $36.60 · — to 2023-03-02 | 19,879 Common Stock | (F23) 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. |
| 27 | Derivative | Stock Option (Right to Buy) | 2021-07-01 | M | D | 15,181 | $0.00 | 0 | D | $25.60 · — to 2022-03-01 | 15,181 Common Stock | (F22) 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. |
| 28 | Derivative | Stock Option (Right to Buy) | 2021-07-02 | M | D | 27,439 | $0.00 | 0 | D | $121.00 · — to 2024-03-06 | 27,439 Common Stock | (F24) 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. |
| 29 | Derivative | Stock Option (Right to Buy) | 2021-07-02 | M | D | 25,120 | $0.00 | 0 | D | $36.60 · — to 2023-03-02 | 25,120 Common Stock | (F23) 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. |
| 30 | Derivative | Stock Option (Right to Buy) | 2021-07-01 | M | D | 17,560 | $0.00 | 27,439 | D | $121.00 · — to 2024-03-06 | 17,560 Common Stock | (F24) 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. |