Form 4 for NVAX NOVAVAX INC
Accepted 2021-09-17 00:00:00 ET · period of report 2021-09-15 · accession 0001209191-21-056673 · 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 | 2021-09-17 | 2021-09-15 | NVAX | Glenn Gregory M | Pres, R, D | M - OptEx | $37.90 | +1,183 | 4,582 | +35% | +$44.8K |
| DM | 2021-09-17 | 2021-09-15 | NVAX | Glenn Gregory M | Pres, R, D | S - Sale+OE | $229.34 | -1,183 | 4,106 | -22% | -$271.3K |
| DM | 2021-09-17 | 2021-09-15 | NVAX | Glenn Gregory M | Pres, R, D | M - OptEx | $0.00 | -1,183 | 9,930 | -11% | $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 | 2021-09-15 | M | A | 662 | $46.00 | 5,244 | D | — | — | |
| 2 | Common | Common Stock | 2021-09-15 | S | D | 152 | $230.10 | 4,532 | D | — | — | (F7) The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $229.61 to $230.50, 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 sold at each price within the range set forth in this footnote. |
| 3 | Common | Common Stock | 2021-09-15 | S | D | 96 | $228.93 | 4,684 | D | — | — | (F6) The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $228.48 to $229.45, 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 sold at each price within the range set forth in this footnote. |
| 4 | Common | Common Stock | 2021-09-15 | S | D | 99 | $227.89 | 4,780 | D | — | — | (F5) The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $227.40 to $228.30, 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 sold at each price within the range set forth in this footnote. |
| 5 | Common | Common Stock | 2021-09-15 | S | D | 204 | $226.66 | 4,879 | D | — | — | (F4) The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $226.15 to $227.06, 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 sold at each price within the range set forth in this footnote. |
| 6 | Common | Common Stock | 2021-09-15 | S | D | 99 | $225.70 | 5,083 | D | — | — | (F3) The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $225.14 to $226.04, 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 sold at each price within the range set forth in this footnote. |
| 7 | Common | Common Stock | 2021-09-15 | S | D | 62 | $224.59 | 5,182 | D | — | — | (F2) The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $224.03 to $224.79, 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 sold at each price within the range set forth in this footnote. |
| 8 | Common | Common Stock | 2021-09-15 | M | A | 521 | $27.60 | 4,582 | D | — | — | |
| 9 | Common | Common Stock | 2021-09-15 | S | D | 45 | $234.73 | 4,061 | D | — | — | (F11) The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $234.64 to $234.78, 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 sold at each price within the range set forth in this footnote. |
| 10 | Common | Common Stock | 2021-09-15 | S | D | 196 | $231.08 | 4,336 | D | — | — | (F8) The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $230.63 to $231.62, 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 sold at each price within the range set forth in this footnote. |
| 11 | Common | Common Stock | 2021-09-15 | S | D | 165 | $232.01 | 4,171 | D | — | — | (F9) The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $231.71 to $232.64, 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 sold at each price within the range set forth in this footnote. |
| 12 | Common | Common Stock | 2021-09-15 | S | D | 65 | $233.02 | 4,106 | D | — | — | (F10) The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $232.81 to $233.33, 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 sold at each price within the range set forth in this footnote. |
| 13 | Derivative | Stock Option (Right to Buy) | 2021-09-15 | M | D | 521 | $0.00 | 2,066 | D | $27.60 · — to 2027-12-15 | 521 Common Stock | (F12) Twenty-five percent (25%) of the shares subject to this option grant under the Novavax, Inc. Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan") vested on the first anniversary of the December 15, 2017 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date. |
| 14 | Derivative | Stock Option (Right to Buy) | 2021-09-15 | M | D | 662 | $0.00 | 9,930 | D | $46.00 · — to 2028-12-13 | 662 Common Stock | (F13) Twenty-five percent (25%) of the shares subject to this option grant under the Plan vested on the first anniversary of the December 13, 2018 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date. |