Form 4 for NVAX NOVAVAX INC
Accepted 2023-06-13 00:00:00 ET · period of report 2023-06-10 · accession 0001209191-23-036748 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2023-06-13 | 2023-06-10 | NVAX | King Rachel K. | Dir | M - OptEx | — | +3,100 | 10.1K | +45% | — |
| D | 2023-06-13 | 2023-06-10 | NVAX | King Rachel K. | Dir | M - OptEx | $0.00 | -3,100 | 0 | -100% | $0 |
| DM | 2023-06-13 | 2023-06-12 | NVAX | King Rachel K. | Dir | A - Grant | $0.00 | +14.4K | 6,670 | New | $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 | 2023-06-10 | M | A | 3,100 | — | 10,050 | D | — | — | (F1) Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. |
| 2 | Derivative | Restricted Stock Units | 2023-06-10 | M | D | 3,100 | $0.00 | 0 | D | — · — to — | 3,100 Common Stock | (F1) Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. (F3) One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"), vested on the first anniversary of the June 10, 2022 grant date subject to continued service on the Company's Board of Directors through the vesting date. |
| 3 | Derivative | Stock Option (Right to Buy) | 2023-06-12 | A | A | 7,710 | $0.00 | 7,710 | D | $7.78 · 2024-06-12 to 2033-06-12 | 7,710 Common Stock | (F4) One hundred percent (100%) of the shares subject to this option grant under the Plan will vest one (1) year from the June 12, 2023 grant date (the "Grant Date") subject to continued service on the Company's Board of Directors through the vesting date. |
| 4 | Derivative | Restricted Stock Units | 2023-06-12 | A | A | 6,670 | $0.00 | 6,670 | D | — · — to — | 6,670 Common Stock | (F1) Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. (F5) One hundred percent (100%) of the RSUs subject to this grant under the Plan will vest one (1) year from the Grant Date subject to continued service on the Company's Board of Directors through the vesting date. |