NVAX

SEC source: 0001209191-21-065181 · doc4.xml · nonDerivative · entry 9

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,061

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F7 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $170.69 to $171.66, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-065181 · doc4.xml · nonDerivative · entry 8

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,661

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F6 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $169.62 to $170.60, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-065181 · doc4.xml · nonDerivative · entry 7

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,013

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F5 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $168.61 to $169.54, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-065181 · doc4.xml · nonDerivative · entry 6

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,339

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F4 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $167.49 to $168.42, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-065181 · doc4.xml · nonDerivative · entry 5

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,811

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F3 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $166.33 to $167.22, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-065181 · doc4.xml · nonDerivative · entry 4

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,311

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-21-065181 · doc4.xml · derivative · entry 11

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,606

Underlying: Common Stock · 662 shares

Expires 2028-12-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F9 · derivative.exercise_date: 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.

SEC source: 0001209191-21-065181 · doc4.xml · derivative · entry 10

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,024

Underlying: Common Stock · 521 shares

Expires 2027-12-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F8 · derivative.exercise_date: 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.

SEC source: 0001209191-21-065181 · doc4.xml · nonDerivative · entry 3

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,061

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $172.01 to $172.07, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-065181 · doc4.xml · nonDerivative · entry 2

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,244

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-21-065181 · doc4.xml · nonDerivative · entry 1

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,582

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-21-064260 · doc4.xml · derivative · entry 10

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,500

Underlying: Common Stock · 8,250 shares

Expires 2030-04-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F9 · derivative.exercise_date: On April 17, 2020, the reporting person was granted an option to purchase 165,000 shares of common stock of the Company pursuant to the Company's Amended and Restated 2015 Stock Incentive Plan, as amended. The vesting of the shares subject to this option grant is subject to the satisfaction of a performance-based vesting requirement, followed by time-based vesting. The performance metric required that the Company initiate a COVID-19 Phase 2 clinical trial within twelve (12) months of the grant date, which occurred when the Company initiated its Phase 2 clinical trial of NVX-CoV2373 in the U.S. on August 24, 2020. Following that event, fifty percent (50%) of the shares vested on August 24, 2021, the first anniversary of the initiation date, and the remaining fifty percent (50%) of the shares will vest on August 24, 2022, the second anniversary of the initiation date subject to continued employment through such vesting date.

SEC source: 0001209191-21-064260 · doc4.xml · nonDerivative · entry 9

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,061

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-21-064260 · doc4.xml · nonDerivative · entry 8

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,161

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F8 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $170.28 to $170.76, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-064260 · doc4.xml · nonDerivative · entry 7

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,561

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F7 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $169.27 to $169.87, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-064260 · doc4.xml · nonDerivative · entry 6

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,039

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F6 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $168.20 to $168.92, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-064260 · doc4.xml · nonDerivative · entry 5

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,711

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F5 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $167.09 to $168.08, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-064260 · doc4.xml · nonDerivative · entry 4

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,711

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F4 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $166.09 to $167.06, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-064260 · doc4.xml · nonDerivative · entry 3

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,511

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F3 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $165.09 to $166.03, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-064260 · doc4.xml · nonDerivative · entry 2

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,911

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $164.02 to $164.73, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-064260 · doc4.xml · nonDerivative · entry 1

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,311

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-21-063205 · doc4.xml · derivative · entry 4

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 5,000 shares

Expires 2030-04-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F3 · derivative.exercise_date: On April 17, 2020, the reporting person was granted an option to purchase 125,000 shares of common stock of the Company pursuant to the Company's Amended and Restated 2015 Stock Incentive Plan, as amended. The vesting of the shares subject to this option grant is subject to the satisfaction of a performance-based vesting requirement, followed by time-based vesting. The performance metric required that the Company initiate a COVID-19 Phase 2 clinical trial within twelve (12) months of the grant date, which occurred when the Company initiated its Phase 2 clinical trial of NVX-CoV2373 in the U.S. on August 24, 2020. Following that event, fifty percent (50%) of the shares vested on August 24, 2021, the first anniversary of the initiation date, and the remaining fifty percent (50%) of the shares will vest on August 24, 2022, the second anniversary of the initiation date subject to continued employment through such vesting date.

SEC source: 0001209191-21-063205 · doc4.xml · nonDerivative · entry 2

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,760

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-21-063205 · doc4.xml · nonDerivative · entry 1

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,760

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-21-062976 · doc4.xml · derivative · entry 19

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,750

Underlying: Common Stock · 8,250 shares

Expires 2030-04-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F17 · derivative.exercise_date: On April 17, 2020, the reporting person was granted an option to purchase 165,000 shares of common stock of the Company pursuant to the Plan. The vesting of the shares subject to this option grant is subject to the satisfaction of a performance-based vesting requirement, followed by time-based vesting. The performance metric required that the Company initiate a COVID-19 Phase 2 clinical trial within twelve (12) months of the grant date, which occurred when the Company initiated its Phase 2 clinical trial of NVX-CoV2373 in the U.S. on August 24, 2020. Following that event, fifty percent (50%) of the shares vested on August 24, 2021, the first anniversary of the initiation date, and the remaining fifty percent (50%) of the shares will vest on August 24, 2022, the second anniversary of the initiation date subject to continued employment through such vesting date.

SEC source: 0001209191-21-062976 · doc4.xml · nonDerivative · entry 18

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,061

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-21-062976 · doc4.xml · nonDerivative · entry 17

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,161

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F16 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $195.98 to $196.50, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-062976 · doc4.xml · nonDerivative · entry 16

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,361

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F15 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $194.98 to $195.90, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-062976 · doc4.xml · nonDerivative · entry 15

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,739

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F14 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $193.83 to $194.79, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-062976 · doc4.xml · nonDerivative · entry 14

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,039

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F13 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $192.62 to $193.61, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-062976 · doc4.xml · nonDerivative · entry 13

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,439

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-21-062976 · doc4.xml · nonDerivative · entry 12

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,539

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F12 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $188.27 to $188.37, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-062976 · doc4.xml · nonDerivative · entry 11

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,839

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F11 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $186.98 to $187.71, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-062976 · doc4.xml · nonDerivative · entry 10

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,139

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F10 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $185.71 to $186.60, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-062976 · doc4.xml · nonDerivative · entry 9

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,639

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F9 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $184.57 to $185.24, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-062976 · doc4.xml · nonDerivative · entry 8

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,941

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F8 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $183.32 to $183.93, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-062976 · doc4.xml · nonDerivative · entry 7

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,741

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F7 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $182.29 to $182.99, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-062976 · doc4.xml · nonDerivative · entry 6

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,341

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F6 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $181.17 to $181.89, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-062976 · doc4.xml · nonDerivative · entry 5

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,011

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F5 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.96 to $180.80, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-062976 · doc4.xml · nonDerivative · entry 4

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,611

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F4 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $178.75 to $179.67, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-062976 · doc4.xml · nonDerivative · entry 3

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,511

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F3 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $177.52 to $178.51, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-062976 · doc4.xml · nonDerivative · entry 2

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,711

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $176.47 to $177.41, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-062976 · doc4.xml · nonDerivative · entry 1

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,311

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-21-062725 · doc4.xml · derivative · entry 18

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,000

Underlying: Common Stock · 5,000 shares

Expires 2030-04-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F16 · derivative.exercise_date: On April 17, 2020, the reporting person was granted an option to purchase 125,000 shares of common stock of the Company pursuant to the Company's Amended and Restated 2015 Stock Incentive Plan, as amended. The vesting of the shares subject to this option grant is subject to the satisfaction of a performance-based vesting requirement, followed by time-based vesting. The performance metric required that the Company initiate a COVID-19 Phase 2 clinical trial within twelve (12) months of the grant date, which occurred when the Company initiated its Phase 2 clinical trial of NVX-CoV2373 in the U.S. on August 24, 2020. Following that event, fifty percent (50%) of the shares vested on August 24, 2021, the first anniversary of the initiation date, and the remaining fifty percent (50%) of the shares will vest on August 24, 2022, the second anniversary of the initiation date subject to continued employment through such vesting date.

SEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 16

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,760

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 15

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,917

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F14 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $172.02 to $172.67, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 14

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,217

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F13 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $170.52 to $171.21, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 13

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,717

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F12 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $168.99 to $169.10, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 12

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,917

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F11 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $167.86 to $168.78, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 11

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,317

F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F10 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $166.81 to $167.48, 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 sold at each price within the range set forth in this footnote.