NVAX

SEC source: 0001209191-21-058075 · doc4.xml · nonDerivative · entry 4

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,615

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 $204.83 to $205.80, 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.

SEC source: 0001209191-21-058075 · doc4.xml · nonDerivative · entry 3

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,067

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 $203.73 to $204.71, 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.

SEC source: 0001209191-21-058075 · doc4.xml · nonDerivative · entry 2

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,208

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 $202.69 to $203.58, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-058075 · doc4.xml · nonDerivative · entry 1

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,047

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: 0001209191-21-058076 · doc4.xml · derivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,051

Underlying: Common Stock · 1,377 shares

Expires 2029-09-26

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.

F13 · kind: The reporting person received 693 shares of common stock upon the net exercise of 1,377 stock appreciation rights under the Novavax, Inc. Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"). The reporting person forfeited 36 shares of common stock underlying the stock appreciation rights representing the base value and 648 shares of common stock underlying the stock appreciation rights to satisfy the withholding tax obligations resulting from the exercise, using the closing stock price on September 27, 2021 of $231.04.

F15 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this stock appreciation right grant under the Plan vested on the first anniversary of the September 26, 2019 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: 0001209191-21-058076 · doc4.xml · derivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,001

Underlying: Common Stock · 2,083 shares

Expires 2029-09-26

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.

F14 · 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 September 26, 2019 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: 0001209191-21-058076 · doc4.xml · nonDerivative · entry 17

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,754

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

F13 · kind: The reporting person received 693 shares of common stock upon the net exercise of 1,377 stock appreciation rights under the Novavax, Inc. Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"). The reporting person forfeited 36 shares of common stock underlying the stock appreciation rights representing the base value and 648 shares of common stock underlying the stock appreciation rights to satisfy the withholding tax obligations resulting from the exercise, using the closing stock price on September 27, 2021 of $231.04.

SEC source: 0001209191-21-058076 · doc4.xml · nonDerivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,402

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

F13 · kind: The reporting person received 693 shares of common stock upon the net exercise of 1,377 stock appreciation rights under the Novavax, Inc. Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"). The reporting person forfeited 36 shares of common stock underlying the stock appreciation rights representing the base value and 648 shares of common stock underlying the stock appreciation rights to satisfy the withholding tax obligations resulting from the exercise, using the closing stock price on September 27, 2021 of $231.04.

SEC source: 0001209191-21-058076 · doc4.xml · nonDerivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,438

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.

F13 · kind: The reporting person received 693 shares of common stock upon the net exercise of 1,377 stock appreciation rights under the Novavax, Inc. Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"). The reporting person forfeited 36 shares of common stock underlying the stock appreciation rights representing the base value and 648 shares of common stock underlying the stock appreciation rights to satisfy the withholding tax obligations resulting from the exercise, using the closing stock price on September 27, 2021 of $231.04.

SEC source: 0001209191-21-058076 · doc4.xml · nonDerivative · entry 14

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.

F12 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $247.99 to $248.55, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-058076 · doc4.xml · nonDerivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,156

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 $243.96 to $243.99, 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.

SEC source: 0001209191-21-058076 · doc4.xml · nonDerivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,212

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 $240.30 to $240.43, 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.

SEC source: 0001209191-21-058076 · doc4.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,311

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 $238.57 to $239.16, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-058076 · doc4.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,435

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

SEC source: 0001209191-21-058076 · doc4.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,492

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 $235.85 to $236.74, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-058076 · doc4.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,590

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 $234.82 to $235.38, 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.

SEC source: 0001209191-21-058076 · doc4.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,793

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 $233.76 to $234.08, 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.

SEC source: 0001209191-21-058076 · doc4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,010

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 $232.64 to $233.59, 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.

SEC source: 0001209191-21-058076 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,272

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 $231.63 to $232.46, 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.

SEC source: 0001209191-21-058076 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,590

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 $230.58 to $231.37, 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.

SEC source: 0001209191-21-058076 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,862

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 $229.40 to $230.28, 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.

SEC source: 0001209191-21-058076 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,087

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

SEC source: 0001209191-21-058076 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,144

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: 0001209191-21-058074 · doc4.xml · derivative · entry 18

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,501

Underlying: Common Stock · 7,501 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.

F15 · derivative.exercise_date: On April 17, 2020, the reporting person was granted an option to purchase 140,000 shares of common stock of Novavax, Inc. (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: 0001209191-21-058074 · doc4.xml · nonDerivative · entry 17

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,546

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

SEC source: 0001209191-21-058074 · doc4.xml · nonDerivative · entry 16

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,616

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 $248.00 to $248.55, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-058074 · doc4.xml · nonDerivative · entry 15

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,913

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

SEC source: 0001209191-21-058074 · doc4.xml · nonDerivative · entry 14

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,013

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 $244.97 to $245.00, 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.

SEC source: 0001209191-21-058074 · doc4.xml · nonDerivative · entry 13

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,225

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 $243.19 to $243.21, 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.

SEC source: 0001209191-21-058074 · doc4.xml · nonDerivative · entry 12

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,278

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 $240.25 to $240.95, 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.

SEC source: 0001209191-21-058074 · doc4.xml · nonDerivative · entry 11

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,392

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 $239.15 to $240.10, 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.

SEC source: 0001209191-21-058074 · doc4.xml · nonDerivative · entry 10

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,961

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

SEC source: 0001209191-21-058074 · doc4.xml · nonDerivative · entry 9

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

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.

F9 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $236.52 to $237.17, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-058074 · doc4.xml · nonDerivative · entry 8

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,328

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 $235.17 to $236.10, 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.

SEC source: 0001209191-21-058074 · doc4.xml · nonDerivative · entry 7

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,697

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 $234.11 to $234.92, 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.

SEC source: 0001209191-21-058074 · doc4.xml · nonDerivative · entry 6

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,546

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 $232.76 to $233.73, 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.

SEC source: 0001209191-21-058074 · doc4.xml · nonDerivative · entry 5

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,816

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 $231.60 to $232.52, 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.

SEC source: 0001209191-21-058074 · doc4.xml · nonDerivative · entry 4

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,740

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 $230.59 to $231.58, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-058074 · doc4.xml · nonDerivative · entry 3

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,105

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 $229.50 to $230.47, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-058074 · doc4.xml · nonDerivative · entry 2

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,733

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 $228.22 to $229.06, 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.

SEC source: 0001209191-21-058074 · doc4.xml · nonDerivative · entry 1

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,047

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: 0001209191-21-057942 · doc4.xml · derivative · entry 3

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,538

Underlying: Common Stock · 3,537 shares

Expires not disclosed

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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.

F2 · derivative.exercise_date: 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 September 26, 2019 grant date, in each case subject to continued employment through such vesting date.

F2 · derivative.expiration_date: 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 September 26, 2019 grant date, in each case subject to continued employment through such vesting date.

SEC source: 0001209191-21-057942 · doc4.xml · nonDerivative · entry 2

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,546

SEC source: 0001209191-21-057942 · doc4.xml · nonDerivative · entry 1

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,255

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.

SEC source: 0001209191-21-057940 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 667

Underlying: Common Stock · 666 shares

Expires not disclosed

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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.

F4 · derivative.exercise_date: 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 Grant Date, in each case subject to continued service with the Company through such vesting date.

F4 · derivative.expiration_date: 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 Grant Date, in each case subject to continued service with the Company through such vesting date.

F2 · balance_after: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

SEC source: 0001209191-21-057940 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,973

Underlying: Common Stock · 3,973 shares

Expires not disclosed

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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.

F3 · derivative.exercise_date: 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 September 26, 2019 grant date (the "Grant Date"), in each case subject to continued employment through such vesting date.

F3 · derivative.expiration_date: 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 September 26, 2019 grant date (the "Grant Date"), in each case subject to continued employment through such vesting date.

SEC source: 0001209191-21-057940 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 1,747

F2 · balance_after: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

SEC source: 0001209191-21-057940 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 1,969

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.

F2 · balance_after: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

SEC source: 0001209191-21-057940 · 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

SEC source: 0001209191-21-057940 · 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: 4,679

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.