NVAX

SEC source: 0001209191-21-045060 · 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: 3,487

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 $208.27 to $209.22, 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 purchased at each price within the range set forth in this footnote.

SEC source: 0001209191-21-045060 · 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: 3,602

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: 0001209191-21-045060 · 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: 1,539

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: 0001209191-21-045060 · 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: 1,122

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: 0001209191-21-043703 · doc4.xml · derivative · entry 2

MCMANUS MICHAEL A JR · CIK 0001051997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,900 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: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 25, 2020 grant date subject to continued service on the Company's Board of Directors through the vesting date.

F2 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 25, 2020 grant date subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-21-043703 · doc4.xml · nonDerivative · entry 1

MCMANUS MICHAEL A JR · CIK 0001051997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,851

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: 0001209191-21-043702 · doc4.xml · derivative · entry 4

King Rachel K. · CIK 0001589712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,900 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: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 25, 2020 grant date subject to continued service on the Company's Board of Directors through the vesting date.

F4 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 25, 2020 grant date subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-21-043702 · doc4.xml · nonDerivative · entry 1

King Rachel K. · CIK 0001589712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,700

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: 0001209191-21-043700 · doc4.xml · derivative · entry 2

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,450 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: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 25, 2020 grant date subject to continued service on the Company's Board of Directors through the vesting date.

F2 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 25, 2020 grant date subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-21-043700 · doc4.xml · nonDerivative · entry 1

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,950

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: 0001209191-21-043695 · doc4.xml · derivative · entry 3

YOUNG JAMES F · CIK 0001219864 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,590 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: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 25, 2020 grant date subject to continued service on the Company's Board of Directors through the vesting date.

F3 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 25, 2020 grant date subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-21-043695 · doc4.xml · nonDerivative · entry 1

YOUNG JAMES F · CIK 0001219864 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,090

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: 0001209191-21-043693 · doc4.xml · derivative · entry 3

Trizzino John · CIK 0001468534 · EVP, CCO, CBO & Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,666

Underlying: Common Stock · 834 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 June 25, 2020 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 June 25, 2020 grant date, in each case subject to continued employment through such vesting date.

SEC source: 0001209191-21-043693 · doc4.xml · nonDerivative · entry 2

Trizzino John · CIK 0001468534 · EVP, CCO, CBO & Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 718

SEC source: 0001209191-21-043693 · doc4.xml · nonDerivative · entry 1

Trizzino John · CIK 0001468534 · EVP, CCO, CBO & Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,121

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: 0001209191-21-043692 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,666

Underlying: Common Stock · 834 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 June 25, 2020 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 June 25, 2020 grant date, in each case subject to continued employment through such vesting date.

SEC source: 0001209191-21-043692 · 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: 706

SEC source: 0001209191-21-043692 · 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: 1,109

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: 0001209191-21-052811 · doc4a.xml · derivative · entry 2

MCMANUS MICHAEL A JR · CIK 0001051997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,450

Underlying: Common Stock · 3,450 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.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.

F1 · shares: This amendment to the original Form 4 filed on June 29, 2021 is being filed to correct the number of restricted stock units ("RSUs") vested on June 25, 2021.

F3 · derivative.exercise_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 25, 2020 grant date subject to continued service on the Company's Board of Directors through the vesting date.

F3 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 25, 2020 grant date subject to continued service on the Company's Board of Directors through the vesting date.

F1 · derivative.underlying_shares: This amendment to the original Form 4 filed on June 29, 2021 is being filed to correct the number of restricted stock units ("RSUs") vested on June 25, 2021.

F1 · balance_after: This amendment to the original Form 4 filed on June 29, 2021 is being filed to correct the number of restricted stock units ("RSUs") vested on June 25, 2021.

SEC source: 0001209191-21-052811 · doc4a.xml · nonDerivative · entry 1

MCMANUS MICHAEL A JR · CIK 0001051997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,401

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 · shares: This amendment to the original Form 4 filed on June 29, 2021 is being filed to correct the number of restricted stock units ("RSUs") vested on June 25, 2021.

F2 · price: Each RSU represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.

F1 · balance_after: This amendment to the original Form 4 filed on June 29, 2021 is being filed to correct the number of restricted stock units ("RSUs") vested on June 25, 2021.

SEC source: 0001209191-21-052810 · doc4a.xml · derivative · entry 2

King Rachel K. · CIK 0001589712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,450

Underlying: Common Stock · 3,450 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.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.

F1 · shares: This amendment to the original Form 4 filed on June 29, 2021 is being filed to correct the number of restricted stock units ("RSUs") vested on June 25, 2021.

F3 · derivative.exercise_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 25, 2020 grant date subject to continued service on the Company's Board of Directors through the vesting date.

F3 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 25, 2020 grant date subject to continued service on the Company's Board of Directors through the vesting date.

F1 · derivative.underlying_shares: This amendment to the original Form 4 filed on June 29, 2021 is being filed to correct the number of restricted stock units ("RSUs") vested on June 25, 2021.

F1 · balance_after: This amendment to the original Form 4 filed on June 29, 2021 is being filed to correct the number of restricted stock units ("RSUs") vested on June 25, 2021.

SEC source: 0001209191-21-052810 · doc4a.xml · nonDerivative · entry 1

King Rachel K. · CIK 0001589712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,250

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 · shares: This amendment to the original Form 4 filed on June 29, 2021 is being filed to correct the number of restricted stock units ("RSUs") vested on June 25, 2021.

F2 · price: Each RSU represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.

F1 · balance_after: This amendment to the original Form 4 filed on June 29, 2021 is being filed to correct the number of restricted stock units ("RSUs") vested on June 25, 2021.

SEC source: 0001209191-21-041642 · doc4.xml · nonDerivative · entry 22

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,811

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 $183.00 to $183.65, 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 purchased at each price within the range set forth in this footnote.

SEC source: 0001209191-21-042458 · doc4.xml · derivative · entry 2

MOTT DAVID M · CIK 0001219871 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700

Underlying: Common Stock · 700 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Company common stock.

F3 · derivative.exercise_date: One hundred percent (100%) of the RSUs subject to this grant under the Plan will vest one (1) year from the Grant Date subject to continued service on the Company's Board of Directors through the vesting date.

F3 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Plan will vest one (1) year from the Grant Date subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-21-042458 · doc4.xml · derivative · entry 1

MOTT DAVID M · CIK 0001219871 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,300

Underlying: Common Stock · 1,300 shares

Expires 2031-06-17

F1 · derivative.exercise_date: One hundred percent (100%) of the shares subject to this option grant under the Novavax, Inc. (the "Company") Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan") will vest one (1) year from the June 17, 2021 grant date (the "Grant Date") subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-21-042457 · doc4.xml · derivative · entry 2

MCMANUS MICHAEL A JR · CIK 0001051997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700

Underlying: Common Stock · 700 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Company common stock.

F3 · derivative.exercise_date: One hundred percent (100%) of the RSUs subject to this grant under the Plan will vest one (1) year from the Grant Date subject to continued service on the Company's Board of Directors through the vesting date.

F3 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Plan will vest one (1) year from the Grant Date subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-21-042457 · doc4.xml · derivative · entry 1

MCMANUS MICHAEL A JR · CIK 0001051997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,300

Underlying: Common Stock · 1,300 shares

Expires 2031-06-17

F1 · derivative.exercise_date: One hundred percent (100%) of the shares subject to this option grant under the Novavax, Inc. (the "Company") Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan") will vest one (1) year from the June 17, 2021 grant date (the "Grant Date") subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-21-042455 · doc4.xml · derivative · entry 2

MCGLYNN MARGARET G · CIK 0001215126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700

Underlying: Common Stock · 700 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Company common stock.

F3 · derivative.exercise_date: One hundred percent (100%) of the RSUs subject to this grant under the Plan will vest one (1) year from the Grant Date subject to continued service on the Company's Board of Directors through the vesting date.

F3 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Plan will vest one (1) year from the Grant Date subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-21-042455 · doc4.xml · derivative · entry 1

MCGLYNN MARGARET G · CIK 0001215126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,300

Underlying: Common Stock · 1,300 shares

Expires 2031-06-17

F1 · derivative.exercise_date: One hundred percent (100%) of the shares subject to this option grant under the Novavax, Inc. (the "Company") Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan") will vest one (1) year from the June 17, 2021 grant date (the "Grant Date") subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-21-042454 · doc4.xml · derivative · entry 2

King Rachel K. · CIK 0001589712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700

Underlying: Common Stock · 700 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Company common stock.

F3 · derivative.exercise_date: One hundred percent (100%) of the RSUs subject to this grant under the Plan will vest one (1) year from the Grant Date subject to continued service on the Company's Board of Directors through the vesting date.

F3 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Plan will vest one (1) year from the Grant Date subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-21-042454 · doc4.xml · derivative · entry 1

King Rachel K. · CIK 0001589712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,300

Underlying: Common Stock · 1,300 shares

Expires 2031-06-17

F1 · derivative.exercise_date: One hundred percent (100%) of the shares subject to this option grant under the Novavax, Inc. (the "Company") Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan") will vest one (1) year from the June 17, 2021 grant date (the "Grant Date") subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-21-042449 · doc4.xml · derivative · entry 2

Alton Gregg H · CIK 0001334682 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700

Underlying: Common Stock · 700 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Company common stock.

F3 · derivative.exercise_date: One hundred percent (100%) of the RSUs subject to this grant under the Plan will vest one (1) year from the Grant Date subject to continued service on the Company's Board of Directors through the vesting date.

F3 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Plan will vest one (1) year from the Grant Date subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-21-042449 · doc4.xml · derivative · entry 1

Alton Gregg H · CIK 0001334682 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,300

Underlying: Common Stock · 1,300 shares

Expires 2031-06-17

F1 · derivative.exercise_date: One hundred percent (100%) of the shares subject to this option grant under the Novavax, Inc. (the "Company") Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan") will vest one (1) year from the June 17, 2021 grant date (the "Grant Date") subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-21-042451 · doc4.xml · derivative · entry 2

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700

Underlying: Common Stock · 700 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Company common stock.

F3 · derivative.exercise_date: One hundred percent (100%) of the RSUs subject to this grant under the Plan will vest one (1) year from the Grant Date subject to continued service on the Company's Board of Directors through the vesting date.

F3 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Plan will vest one (1) year from the Grant Date subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-21-042451 · doc4.xml · derivative · entry 1

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,300

Underlying: Common Stock · 1,300 shares

Expires 2031-06-17

F1 · derivative.exercise_date: One hundred percent (100%) of the shares subject to this option grant under the Novavax, Inc. (the "Company") Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan") will vest one (1) year from the June 17, 2021 grant date (the "Grant Date") subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-21-042447 · doc4.xml · derivative · entry 2

YOUNG JAMES F · CIK 0001219864 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,400

Underlying: Common Stock · 1,400 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Company common stock.

F3 · derivative.exercise_date: One hundred percent (100%) of the RSUs subject to this grant under the Plan will vest one (1) year from the Grant Date subject to continued service on the Company's Board of Directors through the vesting date.

F3 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Plan will vest one (1) year from the Grant Date subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-21-042447 · doc4.xml · derivative · entry 1

YOUNG JAMES F · CIK 0001219864 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,600

Underlying: Common Stock · 2,600 shares

Expires 2031-06-17

F1 · derivative.exercise_date: One hundred percent (100%) of the shares subject to this option grant under the Novavax, Inc. (the "Company") Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan") will vest one (1) year from the June 17, 2021 grant date (the "Grant Date") subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-21-042444 · doc4.xml · derivative · entry 2

EVANS GARY C · CIK 0001191410 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,450 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: In connection with the reporting person's departure from the Board of Directors (the "Board"), the Board accelerated the vesting of 3,450 restricted stock units subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"), to June 17, 2021 from June 25, 2021.

F2 · derivative.expiration_date: In connection with the reporting person's departure from the Board of Directors (the "Board"), the Board accelerated the vesting of 3,450 restricted stock units subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"), to June 17, 2021 from June 25, 2021.

SEC source: 0001209191-21-042444 · doc4.xml · nonDerivative · entry 1

EVANS GARY C · CIK 0001191410 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,549

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: 0001209191-21-041642 · doc4.xml · derivative · entry 27

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,005

Underlying: Common Stock · 4,819 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.

F15 · kind: The reporting person received 2411 shares of common stock upon the net exercise of 4819 stock appreciation rights under the Novavax, Inc. Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"). The reporting person forfeited 154 shares of common stock underlying the stock appreciation rights representing the base value and 2254 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 June 15, 2021 of $187.07.

F21 · 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: 0001209191-21-041642 · doc4.xml · derivative · entry 26

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,380

Underlying: Common Stock · 3,124 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.

F20 · 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: 0001209191-21-041642 · doc4.xml · derivative · entry 25

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,019

Underlying: Common Stock · 1,101 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.

F19 · 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: 0001209191-21-041642 · doc4.xml · derivative · entry 24

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,001

Underlying: Common Stock · 868 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.

F18 · 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 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: 0001209191-21-041642 · doc4.xml · derivative · entry 23

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 623 shares

Expires 2026-11-14

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: Vesting of the shares subject to this option grant under the Plan were subject to the satisfaction of both (1) a time-based vesting requirement, pursuant to which twenty-five percent (25%) of the shares vested on the first anniversary of the November 14, 2016 grant date, and the remaining seventy-five percent (75%) of the shares vested in equal monthly installments on the first of each month over the following three (3) years subject to continued employment through such vesting date, and (2) a performance-based vesting requirement, pursuant to which 33.33%, 33.33%, and 33.34% of the shares vested, if at any time during the four-year period from the November 14, 2016 grant date, the volume-weighted average stock price of Novavax, Inc.'s common stock met or exceeded $80.00, $120.00, or $160.00, respectively, for twenty (20) consecutive trading days. Novavax, Inc.'s common stock did not meet $160.00 for twenty (20) consecutive trading days and therefore 2,918 shares were cancelled.

SEC source: 0001209191-21-041642 · doc4.xml · nonDerivative · entry 21

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,222

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

F15 · kind: The reporting person received 2411 shares of common stock upon the net exercise of 4819 stock appreciation rights under the Novavax, Inc. Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"). The reporting person forfeited 154 shares of common stock underlying the stock appreciation rights representing the base value and 2254 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 June 15, 2021 of $187.07.

SEC source: 0001209191-21-041642 · doc4.xml · nonDerivative · entry 20

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,476

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

F15 · kind: The reporting person received 2411 shares of common stock upon the net exercise of 4819 stock appreciation rights under the Novavax, Inc. Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"). The reporting person forfeited 154 shares of common stock underlying the stock appreciation rights representing the base value and 2254 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 June 15, 2021 of $187.07.

SEC source: 0001209191-21-041642 · doc4.xml · nonDerivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,630

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 · kind: The reporting person received 2411 shares of common stock upon the net exercise of 4819 stock appreciation rights under the Novavax, Inc. Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"). The reporting person forfeited 154 shares of common stock underlying the stock appreciation rights representing the base value and 2254 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 June 15, 2021 of $187.07.

SEC source: 0001209191-21-041642 · doc4.xml · nonDerivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,811

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 $199.99 to $200.00, 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 purchased at each price within the range set forth in this footnote.

SEC source: 0001209191-21-041642 · doc4.xml · nonDerivative · entry 17

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,259

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 $198.1588 to $198.6379, 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 purchased at each price within the range set forth in this footnote.

SEC source: 0001209191-21-041642 · doc4.xml · nonDerivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,459

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 $196.297 to $196.93, 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 purchased at each price within the range set forth in this footnote.