NVAX

SEC source: 0001209191-21-057939 · doc4.xml · derivative · entry 3

Erck Stanley C · CIK 0001342826 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,546

Underlying: Common Stock · 6,546 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: 0001209191-21-057939 · doc4.xml · nonDerivative · entry 2

Erck Stanley C · CIK 0001342826 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,879

SEC source: 0001209191-21-057939 · doc4.xml · nonDerivative · entry 1

Erck Stanley C · CIK 0001342826 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,041

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: 0001209191-21-057658 · doc4.xml · nonDerivative · entry 5

MOTT DAVID M · CIK 0001219871 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

F5 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $255.11 to $255.60, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-057658 · doc4.xml · nonDerivative · entry 4

MOTT DAVID M · CIK 0001219871 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,200

F4 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $254.06 to $255.05, 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: 0001209191-21-057658 · doc4.xml · nonDerivative · entry 3

MOTT DAVID M · CIK 0001219871 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,932

F3 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $253.00 to $253.97, 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: 0001209191-21-057658 · doc4.xml · nonDerivative · entry 2

MOTT DAVID M · CIK 0001219871 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,676

F2 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $251.98 to $252.91, 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: 0001209191-21-057658 · doc4.xml · nonDerivative · entry 1

MOTT DAVID M · CIK 0001219871 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,233

F1 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $250.92 to $251.87, 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: 0001209191-21-057280 · doc4.xml · derivative · entry 22

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,002

Underlying: Common Stock · 7,500 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.

F20 · 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: 0001209191-21-057280 · doc4.xml · nonDerivative · entry 20

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 718

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

F19 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $230.81 to $231.49, 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: 0001209191-21-057280 · doc4.xml · nonDerivative · entry 19

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,086

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

F18 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $229.76 to $230.71, 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: 0001209191-21-057280 · doc4.xml · nonDerivative · entry 18

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,601

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

F17 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $228.73 to $229.34, 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: 0001209191-21-057280 · doc4.xml · nonDerivative · entry 17

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,327

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 $227.63 to $228.50, 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.

SEC source: 0001209191-21-057280 · doc4.xml · nonDerivative · entry 16

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,180

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 $226.60 to $227.55, 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: 0001209191-21-057280 · doc4.xml · nonDerivative · entry 15

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,765

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 $225.59 to $226.56, 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: 0001209191-21-057280 · doc4.xml · nonDerivative · entry 14

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,130

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 $224.31 to $225.29, 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: 0001209191-21-057280 · doc4.xml · nonDerivative · entry 13

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,399

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 $223.31 to $224.30, 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.

SEC source: 0001209191-21-057280 · doc4.xml · nonDerivative · entry 12

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,218

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: 0001209191-21-057280 · doc4.xml · derivative · entry 21

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,502

Underlying: Common Stock · 7,500 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.

F20 · 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: 0001209191-21-057280 · doc4.xml · nonDerivative · entry 11

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 718

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 $232.82 to $232.97, 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: 0001209191-21-057280 · doc4.xml · nonDerivative · entry 10

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 830

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 $231.38 to $232.32, 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: 0001209191-21-057280 · doc4.xml · nonDerivative · entry 9

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,086

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 $230.31 to $231.18, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-057280 · doc4.xml · nonDerivative · entry 8

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,841

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 $229.31 to $230.30, 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.

SEC source: 0001209191-21-057280 · doc4.xml · nonDerivative · entry 7

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,759

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 $228.31 to $229.30, 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.

SEC source: 0001209191-21-057280 · doc4.xml · nonDerivative · entry 6

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,066

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 $227.31 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.

SEC source: 0001209191-21-057280 · doc4.xml · nonDerivative · entry 5

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,644

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 $226.23 to $227.20, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-057280 · doc4.xml · nonDerivative · entry 4

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,819

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 $225.21 to $226.17, 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: 0001209191-21-057280 · doc4.xml · nonDerivative · entry 3

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,851

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 $224.07 to $225.01, 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: 0001209191-21-057280 · doc4.xml · nonDerivative · entry 2

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,556

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 $222.85 to $223.75, 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 sold at each price within the range set forth in this footnote.

SEC source: 0001209191-21-057280 · doc4.xml · nonDerivative · entry 1

Trizzino John · CIK 0001468534 · EVP, CCO and CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,218

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: 0001209191-21-056676 · doc4.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,000

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.

F11 · derivative.exercise_date: On April 17, 2020, the reporting person was granted an option to purchase 125,000 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: 0001209191-21-056676 · 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: 706

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 $234.73 to $234.96, 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: 0001209191-21-056676 · doc4.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 968

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 $232.50 to $232.71, 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: 0001209191-21-056676 · doc4.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,268

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 $231.47 to $232.35, 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: 0001209191-21-056676 · doc4.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,380

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 $230.09 to $230.97, 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: 0001209191-21-056676 · doc4.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,880

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 $229.01 to $229.99, 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: 0001209191-21-056676 · doc4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,680

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 $227.98 to $228.50, 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.

SEC source: 0001209191-21-056676 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,980

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 $226.94 to $227.81, 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: 0001209191-21-056676 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,500

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 $225.79 to $226.76, 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: 0001209191-21-056676 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,406

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 $224.55 to $225.32, 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: 0001209191-21-056676 · 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: 5,606

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

SEC source: 0001209191-21-056676 · 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: 5,706

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: 0001209191-21-056673 · doc4.xml · derivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,930

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.

F13 · 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: 0001209191-21-056673 · doc4.xml · derivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,066

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.

F12 · 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: 0001209191-21-056673 · doc4.xml · nonDerivative · entry 12

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.

F11 · price: 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.

SEC source: 0001209191-21-056673 · doc4.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,106

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 $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.

SEC source: 0001209191-21-056673 · doc4.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,171

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 $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.

SEC source: 0001209191-21-056673 · doc4.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,336

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 $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.

SEC source: 0001209191-21-056673 · doc4.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,532

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 $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.

SEC source: 0001209191-21-056673 · doc4.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,684

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 $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.