NVAX

SEC source: 0001209191-17-051058 · doc4.xml · nonDerivative · entry 1

YOUNG JAMES F · CIK 0001219864 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.05 to $1.075, 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: 0001209191-17-046949 · doc4.xml · nonDerivative · entry 1

PHILLIPS BARCLAY A · CIK 0001265801 · SVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,669

F1 · balance_after: Includes 2,057 shares acquired under the Issuer's Amended and Restated 2013 Employee Stock Purchase Plan on July 31, 2017.

SEC source: 0001209191-17-031852 · doc4.xml · nonDerivative · entry 1

MCMANUS MICHAEL A JR · CIK 0001051997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 277,590

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.9696 to $0.97, 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 purchased at each price within the range set forth in this footnote.

SEC source: 0001209191-17-031505 · doc4.xml · nonDerivative · entry 1

MCMANUS MICHAEL A JR · CIK 0001051997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,590

SEC source: 0001209191-17-031437 · doc4.xml · nonDerivative · entry 1

PHILLIPS BARCLAY A · CIK 0001265801 · SVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,612

SEC source: 0001209191-17-031435 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,279

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.8266 to $0.8399, 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: 0001209191-17-031713 · doc4.xml · nonDerivative · entry 1

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 550,000

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.9049 to $0.94, 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: 0001209191-17-021705 · doc4.xml · derivative · entry 1

MCMANUS MICHAEL A JR · CIK 0001051997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2027-03-16

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 will vest one (1) year from the March 16, 2017 grant date subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-17-021710 · doc4.xml · derivative · entry 1

BOUDREAUX GAIL · CIK 0001287920 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2027-03-16

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 will vest one (1) year from the March 16, 2017 grant date subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-17-021709 · doc4.xml · derivative · entry 1

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2027-03-16

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 will vest one (1) year from the March 16, 2017 grant date subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-17-021706 · doc4.xml · derivative · entry 1

EVANS GARY C · CIK 0001191410 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2027-03-16

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 will vest one (1) year from the March 16, 2017 grant date subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-17-021703 · doc4.xml · derivative · entry 1

YOUNG JAMES F · CIK 0001219864 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2027-03-16

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 will vest one (1) year from the March 16, 2017 grant date subject to continued service on the Company's Board of Directors through the vesting date.

SEC source: 0001209191-17-021088 · doc4.xml · nonDerivative · entry 1

YOUNG JAMES F · CIK 0001219864 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

F1 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.38 to $1.395, 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.

F2 · balance_after: Since the date of the reporting person's last ownership report, he transferred 100,000 shares of Novavax common stock to his ex-wife pursuant to a domestic relations order. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife.

SEC source: 0001209191-17-007072 · doc4.xml · nonDerivative · entry 1

Herrmann John A III · CIK 0001610928 · SVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,072

F1 · balance_after: Includes 4,960 shares acquired under the Issuer's Amended and Restated 2013 Employee Stock Purchase Plan on January 31, 2017.

SEC source: 0001209191-17-007074 · doc4.xml · nonDerivative · entry 1

Trizzino John · CIK 0001468534 · SVP, Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,965

F1 · balance_after: Includes 3,401 shares acquired under the Issuer's Amended and Restated 2013 Employee Stock Purchase Plan on January 31, 2017.

SEC source: 0001209191-17-007070 · doc4.xml · nonDerivative · entry 1

PHILLIPS BARCLAY A · CIK 0001265801 · SVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,612

F1 · balance_after: Includes 1,633 shares acquired under the Issuer's Amended and Restated 2013 Employee Stock Purchase Plan on January 31, 2017.

SEC source: 0001209191-16-153897 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,427

SEC source: 0001209191-16-150734 · doc4.xml · derivative · entry 2

Trizzino John · CIK 0001468534 · SVP, Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2026-11-14

F2 · derivative.exercise_date: Vesting of the shares subject to this option grant under the Plan is subject to the satisfaction of both (1) a time-based vesting requirement, pursuant to which twenty-five percent (25%) of the shares vesting on the first anniversary of the Grant Date, and the remaining seventy-five percent (75%) of the shares vesting in equal monthly installments 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 will vest if, at any time during the four-year period from the Grant Date, the volume-weighted average stock price of Novavax' common stock meets or exceeds $4.00, $6.00, or $8.00, respectively, for twenty (20) consecutive trading days.

SEC source: 0001209191-16-150734 · doc4.xml · derivative · entry 1

Trizzino John · CIK 0001468534 · SVP, Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2026-11-14

F1 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant under the Novavax, Inc. 2015 Stock Incentive Plan, as amended (the "Plan") vest on the first anniversary of the November 14, 2016 grant date (the "Grant Date"), and the remaining seventy-five percent (75%) of the shares will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date.

SEC source: 0001209191-16-150732 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2026-11-14

F2 · derivative.exercise_date: Vesting of the shares subject to this option grant under the Plan is subject to the satisfaction of both (1) a time-based vesting requirement, pursuant to which twenty-five percent (25%) of the shares vesting on the first anniversary of the Grant Date, and the remaining seventy-five percent (75%) of the shares vesting in equal monthly installments 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 will vest if, at any time during the four-year period from the Grant Date, the volume-weighted average stock price of Novavax' common stock meets or exceeds $4.00, $6.00, or $8.00, respectively, for twenty (20) consecutive trading days.

SEC source: 0001209191-16-150732 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2026-11-14

F1 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant under the Novavax, Inc. 2015 Stock Incentive Plan, as amended (the "Plan") vest on the first anniversary of the November 14, 2016 grant date (the "Grant Date"), and the remaining seventy-five percent (75%) of the shares will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date.

SEC source: 0001209191-16-150733 · doc4.xml · derivative · entry 2

Herrmann John A III · CIK 0001610928 · SVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2026-11-14

F2 · derivative.exercise_date: Vesting of the shares subject to this option grant under the Plan is subject to the satisfaction of both (1) a time-based vesting requirement, pursuant to which twenty-five percent (25%) of the shares vesting on the first anniversary of the Grant Date, and the remaining seventy-five percent (75%) of the shares vesting in equal monthly installments 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 will vest if, at any time during the four-year period from the Grant Date, the volume-weighted average stock price of Novavax' common stock meets or exceeds $4.00, $6.00, or $8.00, respectively, for twenty (20) consecutive trading days.

SEC source: 0001209191-16-150733 · doc4.xml · derivative · entry 1

Herrmann John A III · CIK 0001610928 · SVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2026-11-14

F1 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant under the Novavax, Inc. 2015 Stock Incentive Plan, as amended (the "Plan") vest on the first anniversary of the November 14, 2016 grant date (the "Grant Date"), and the remaining seventy-five percent (75%) of the shares will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date.

SEC source: 0001209191-16-150731 · doc4.xml · derivative · entry 2

PHILLIPS BARCLAY A · CIK 0001265801 · SVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2026-11-14

F2 · derivative.exercise_date: Vesting of the shares subject to this option grant under the Plan is subject to the satisfaction of both (1) a time-based vesting requirement, pursuant to which twenty-five percent (25%) of the shares vesting on the first anniversary of the Grant Date, and the remaining seventy-five percent (75%) of the shares vesting in equal monthly installments 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 will vest if, at any time during the four-year period from the Grant Date, the volume-weighted average stock price of Novavax' common stock meets or exceeds $4.00, $6.00, or $8.00, respectively, for twenty (20) consecutive trading days.

SEC source: 0001209191-16-150731 · doc4.xml · derivative · entry 1

PHILLIPS BARCLAY A · CIK 0001265801 · SVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2026-11-14

F1 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant under the Novavax, Inc. 2015 Stock Incentive Plan, as amended (the "Plan") vest on the first anniversary of the November 14, 2016 grant date (the "Grant Date"), and the remaining seventy-five percent (75%) of the shares will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date.

SEC source: 0001209191-16-150730 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 550,000

Underlying: Common Stock · 550,000 shares

Expires 2026-11-14

F2 · derivative.exercise_date: Vesting of the shares subject to this option grant under the Plan is subject to the satisfaction of both (1) a time-based vesting requirement, pursuant to which twenty-five percent (25%) of the shares vesting on the first anniversary of the Grant Date, and the remaining seventy-five percent (75%) of the shares vesting in equal monthly installments 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 will vest if, at any time during the four-year period from the Grant Date, the volume-weighted average stock price of Novavax' common stock meets or exceeds $4.00, $6.00, or $8.00, respectively, for twenty (20) consecutive trading days.

SEC source: 0001209191-16-150730 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 550,000

Underlying: Common Stock · 550,000 shares

Expires 2026-11-14

F1 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant under the Novavax, Inc. 2015 Stock Incentive Plan, as amended (the "Plan") vest on the first anniversary of the November 14, 2016 grant date (the "Grant Date"), and the remaining seventy-five percent (75%) of the shares will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date.

SEC source: 0001209191-16-142676 · doc4.xml · nonDerivative · entry 1

Trizzino John · CIK 0001468534 · SVP, Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,564

SEC source: 0001209191-16-142465 · doc4.xml · nonDerivative · entry 1

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.715 to $1.73, inclusive. The reporting person undertakes to provide 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: 0001209191-16-142458 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,427

SEC source: 0001209191-16-142463 · doc4.xml · nonDerivative · entry 1

MCMANUS MICHAEL A JR · CIK 0001051997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 247,590

SEC source: 0001209191-16-142271 · doc4.xml · nonDerivative · entry 1

BOUDREAUX GAIL · CIK 0001287920 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.44 to $1.45, inclusive. The reporting person undertakes to provide 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.