Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NOVAVAX INCNVAX · Entity 4632 | President, R&D | March 06, 2023 | March 14, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
NOVAVAX INC
Report date March 06, 2023 · Filed March 14, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 11,473 |
Reported balance
After 2023-03-06 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-03-06 · Purchase · Acquired 3,000 · Balance 11,473 F1: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.2658 to $7.65, inclusive. The reporting person undertakes to provide to Novavax, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. F2: Includes 464 shares acquired on January 31, 2023 under the Company's Amended and Restated 2013 Employee Stock Purchase Plan, as amended. |
| Common StockSEC Table I · non-derivative | Direct | 13,473 |
Reported balance
After 2023-03-07 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2023-03-07 · Purchase · Acquired 2,000 · Balance 13,473 F3: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.0089 to $7.0594, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. |
| Common StockSEC Table I · non-derivative | Direct | 14,473 |
Reported balance
After 2023-03-10 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2023-03-10 · Purchase · Acquired 1,000 · Balance 14,473 F4: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.45 to $6.55, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. |
| Common StockSEC Table I · non-derivative | Direct | 20,771 |
Reported balance
After 2023-03-10 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2023-03-10 · Exercise / conversion · Acquired 6,298 · Balance 20,771 F5: The shares were received by the reporting person in connection with vesting of restricted stock units ("RSUs"). |
| Common StockSEC Table I · non-derivative | Direct | 18,339 |
Reported balance
After 2023-03-10 transaction · row 5
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 5 · 2023-03-10 · Tax withholding · Disposed 2,432 · Balance 18,339 |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 12,596 |
Reported balance
After 2023-03-10 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2023-03-10 · Exercise / conversion · Disposed 6,298 · Balance 12,596 F6: Each RSU represents a contingent right to receive one share of the Company common stock. F7: 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 March 10, 2022 grant date, in each case subject to continued employment through such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.2658 to $7.65, inclusive. The reporting person undertakes to provide to Novavax, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.
F2: Includes 464 shares acquired on January 31, 2023 under the Company's Amended and Restated 2013 Employee Stock Purchase Plan, as amended.
F3: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.0089 to $7.0594, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.
F4: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.45 to $6.55, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.
F5: The shares were received by the reporting person in connection with vesting of restricted stock units ("RSUs").
F6: Each RSU represents a contingent right to receive one share of the Company common stock.
F7: 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 March 10, 2022 grant date, in each case subject to continued employment through such vesting date.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 18, 2020 Filed Aug 20, 2020 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 13,225 | $0.00 Strike: $46.00 | $0.00 |
DisclosureSEC source: 0000904454-20-000586 · edgar.xml · derivative · entry 19 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,524 Underlying: Common Stock · 13,225 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. F11 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant 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. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 16,658 | $0.00 Strike: $27.60 | $0.00 |
DisclosureSEC source: 0000904454-20-000586 · edgar.xml · derivative · entry 18 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,341 Underlying: Common Stock · 16,658 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. F10 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant 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. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 2,733 | $0.00 Strike: $27.00 | $0.00 |
DisclosureSEC source: 0000904454-20-000586 · edgar.xml · derivative · entry 17 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,017 Underlying: Common Stock · 2,733 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. F9 · derivative.exercise_date: Vesting of the shares subject to this option grant is 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 or will vest 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 or will vest if, at any time during the four-year period from the November 14, 2016 grant date, the volume-weighted average stock price of the Company's common stock meets or exceeds $80.00, $120.00, or $160.00, respectively, for twenty (20) consecutive trading days. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 8,200 | $0.00 Strike: $27.00 | $0.00 |
DisclosureSEC source: 0000904454-20-000586 · edgar.xml · derivative · entry 16 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 550 Underlying: Common Stock · 8,200 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. F8 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant vested on the first anniversary of the November 14, 2016 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. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 4,405 | $0.00 Strike: $36.60 | $0.00 |
DisclosureSEC source: 0000904454-20-000586 · edgar.xml · derivative · entry 15 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,405 shares Expires 2023-03-02 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. F7 · derivative.exercise_date: The shares subject to this option grant vested in four equal annual installments beginning on the first anniversary of the March 2, 2013 grant date. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 7,500 | $0.00 Strike: $25.60 | $0.00 |
DisclosureSEC source: 0000904454-20-000586 · edgar.xml · derivative · entry 14 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,500 shares Expires 2022-03-01 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. F6 · derivative.exercise_date: The shares subject to this option grant vested in four equal annual installments beginning on the first anniversary of the March 1, 2012 grant date. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 3,200 | $0.00 Strike: $50.00 | $0.00 |
DisclosureSEC source: 0000904454-20-000586 · edgar.xml · derivative · entry 13 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,200 shares Expires 2021-03-10 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. F5 · derivative.exercise_date: The shares subject to this option grant vested in four equal annual installments beginning on the first anniversary of the March 10, 2011 grant date. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | GiftCommon Stock | 1,528 | $0.00 | $0.00 |
DisclosureSEC source: 0000904454-20-000586 · edgar.xml · nonDerivative · entry 12 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 311 Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 525 | $146.58 | $76,954.50 |
DisclosureSEC source: 0000904454-20-000586 · edgar.xml · nonDerivative · entry 11 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,839 F4 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $146.47 to $146.67, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 17,151 | $146.00 | $2,504,046.00 |
DisclosureSEC source: 0000904454-20-000586 · edgar.xml · nonDerivative · entry 10 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,364 F3 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $145.47 to $146.44, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 31,957 | $145.00 | $4,633,765.00 |
DisclosureSEC source: 0000904454-20-000586 · edgar.xml · nonDerivative · entry 9 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,515 F2 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $144.45 to $145.44, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 6,288 | $143.94 | $905,094.72 |
DisclosureSEC source: 0000904454-20-000586 · edgar.xml · nonDerivative · entry 8 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,472 F1 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $143.45 to $144.43, inclusive. The reporting person undertakes to provide to Novavax, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 13,225 | $46.00 | $608,350.00 |
DisclosureSEC source: 0000904454-20-000586 · edgar.xml · nonDerivative · entry 7 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,760 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 16,658 | $27.60 | $459,760.80 |
DisclosureSEC source: 0000904454-20-000586 · edgar.xml · nonDerivative · entry 6 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,535 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. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 2,733 | $27.00 | $73,791.00 |
DisclosureSEC source: 0000904454-20-000586 · edgar.xml · nonDerivative · entry 5 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,877 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. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 8,200 | $27.00 | $221,400.00 |
DisclosureSEC source: 0000904454-20-000586 · edgar.xml · nonDerivative · entry 4 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,144 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 4,405 | $36.60 | $161,223.00 |
DisclosureSEC source: 0000904454-20-000586 · edgar.xml · nonDerivative · entry 3 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,944 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. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 7,500 | $25.60 | $192,000.00 |
DisclosureSEC source: 0000904454-20-000586 · edgar.xml · nonDerivative · entry 2 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,539 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. Read SEC document |
| August 18, 2020 Filed Aug 20, 2020 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 3,200 | $50.00 | $160,000.00 |
DisclosureSEC source: 0000904454-20-000586 · edgar.xml · nonDerivative · entry 1 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,039 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. Read SEC document |
| June 25, 2020 Filed Jun 30, 2020 01:44 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $5.95 | $0.00 |
DisclosureSEC source: 0001104659-20-078303 · tm2023760-2_4.xml · derivative · entry 1 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2029-09-26 F1 · date: This option award was previously reported based on having been approved by the issuer's board of directors on September 26, 2019, but such award was subject to shareholder approval of an increase in the number of shares available for issuance under the Novavax, Inc. Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"). Such shareholder approval was received on June 25, 2020. F2 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant under the Plan will vest on the first anniversary of the September 26, 2019 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, in each case subject to continued employment through such vesting date. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 21:29 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to buy) · Derivative | 16,749 | $0.00 Strike: $42.20 | $0.00 |
DisclosureSEC source: 0001209191-20-038242 · doc4.xml · derivative · entry 3 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,749 shares Expires 2020-07-01 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_date: The shares subject to this option grant under the Novavax, Inc. 2005 Stock Incentive Plan, as amended, vested in three equal annual installments on the first three anniversaries of the July 1, 2010 grant date. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 21:29 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 16,749 | $59.53 | $997,103.14 |
DisclosureSEC source: 0001209191-20-038242 · doc4.xml · nonDerivative · entry 2 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,839 F1 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.32 to $59.73, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 21:29 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 16,749 | $42.20 | $706,807.80 |
DisclosureSEC source: 0001209191-20-038242 · doc4.xml · nonDerivative · entry 1 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,588 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. Read SEC document |
| March 08, 2020 Filed Mar 10, 2020 21:00 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionRestricted Stock Units · Derivative | 760 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-017729 · doc4.xml · derivative · entry 3 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 760 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 satisfaction of both (1) a time-based vesting requirement, pursuant to which one hundred percent (100%) of the RSUs vested on the first anniversary of the March 8, 2019 grant date subject to continued employment through such vesting date; and (2) a performance-based vesting requirement, pursuant to which one hundred percent (100%) of the RSUs vested based on the Company's achievement of a regulatory milestone associated with NanoFlu on or before September 30, 2019. 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 satisfaction of both (1) a time-based vesting requirement, pursuant to which one hundred percent (100%) of the RSUs vested on the first anniversary of the March 8, 2019 grant date subject to continued employment through such vesting date; and (2) a performance-based vesting requirement, pursuant to which one hundred percent (100%) of the RSUs vested based on the Company's achievement of a regulatory milestone associated with NanoFlu on or before September 30, 2019. Read SEC document |
| March 08, 2020 Filed Mar 10, 2020 21:00 UTC | NOVAVAX INC NVAX · Entity 4632 | Tax withholdingCommon Stock | 294 | $12.48 | $3,669.12 |
DisclosureSEC source: 0001209191-20-017729 · doc4.xml · nonDerivative · entry 2 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,839 Read SEC document |
| March 08, 2020 Filed Mar 10, 2020 21:00 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 760 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-017729 · doc4.xml · nonDerivative · entry 1 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,133 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. Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 22:11 UTC | NOVAVAX INC NVAX · Entity 4632 | PurchaseCommon Stock | 1,250 | $3.86 | $4,825.00 |
DisclosureSEC source: 0001209191-20-006438 · doc4.xml · nonDerivative · entry 1 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,373 F1 · balance_after: Includes 1,250 shares acquired under the Issuer's Amended and Restated 2013 Employee Stock Purchase Plan, as amended, on January 31, 2020. Read SEC document |
| September 26, 2019 Filed Sep 30, 2019 20:55 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $5.95 | $0.00 |
DisclosureSEC source: 0000904454-19-000656 · edgar.xml · derivative · entry 3 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2029-09-26 F4 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant under the Plan will vest on the first anniversary of 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, in each case subject to continued employment through such vesting date and subject to shareholder approval of an increase in the number of shares available for issuance under the Plan. Read SEC document |
| September 26, 2019 Filed Sep 30, 2019 20:55 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Appreciation Right · Derivative | 66,100 | $0.00 Strike: $5.95 | $0.00 |
DisclosureSEC source: 0000904454-19-000656 · edgar.xml · derivative · entry 2 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,100 Underlying: Common Stock · 66,100 shares Expires 2029-09-26 F3 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this stock appreciation right grant under the Plan will vest on the first anniversary of 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, in each case subject to continued employment through such vesting date and subject to shareholder approval of an increase in the number of shares available for issuance under the Plan. Read SEC document |
| September 26, 2019 Filed Sep 30, 2019 20:55 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantRestricted Stock Units · Derivative | 38,588 | $0.00 | $0.00 |
DisclosureSEC source: 0000904454-19-000656 · edgar.xml · derivative · entry 1 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,588 Underlying: Common Stock · 38,588 shares Expires not disclosed 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 (the "Plan"), will vest one (1) year from the September 26, 2019 grant date (the "Grant Date"), subject to continued employment with the Company 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 (the "Plan"), will vest one (1) year from the September 26, 2019 grant date (the "Grant Date"), subject to continued employment with the Company through the vesting date. Read SEC document |
| September 26, 2019 Filed Jun 30, 2020 01:44 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Appreciation Right · Derivative | 66,100 | $0.00 Strike: $5.95 | $0.00 |
DisclosureSEC source: 0001104659-20-078303 · tm2023760-2_4.xml · derivative · entry 2 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,100 Underlying: Common Stock · 66,100 shares Expires 2029-09-26 F3 · security: Represents the previously reported September 26, 2019 stock appreciation right grant. The Form 4 filed by the reporting person on September 30, 2019 inadvertently stated that vesting of this grant was subject to shareholder approval of an increase in the number of shares available for issuance under the Plan. However, this grant was not subject to such shareholder approval. F4 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this stock appreciation right grant under the Plan will vest on the first anniversary of 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, in each case subject to continued employment through such vesting date. Read SEC document |
| September 13, 2019 Filed Sep 16, 2019 20:18 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 9,620 | $6.18 | $59,475.65 |
DisclosureSEC source: 0001209191-19-049638 · doc4.xml · nonDerivative · entry 1 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123 F1 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.90 to $6.34, 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 purchased at each price within the range set forth in this footnote. Read SEC document |
| September 08, 2019 Filed Sep 10, 2019 20:31 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionRestricted Stock Units · Derivative | 7,608 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-049017 · doc4.xml · derivative · entry 3 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,608 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 six (6) months from the March 8, 2019 grant date subject to continued employment with the Company 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 six (6) months from the March 8, 2019 grant date subject to continued employment with the Company through the vesting date. Read SEC document |
| September 08, 2019 Filed Sep 10, 2019 20:31 UTC | NOVAVAX INC NVAX · Entity 4632 | Tax withholdingCommon Stock | 2,534 | $5.50 | $13,937.00 |
DisclosureSEC source: 0001209191-19-049017 · doc4.xml · nonDerivative · entry 2 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,743 Read SEC document |
| September 08, 2019 Filed Sep 10, 2019 20:31 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 7,608 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-049017 · doc4.xml · nonDerivative · entry 1 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,277 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. Read SEC document |
| May 13, 2019 Filed May 13, 2019 21:19 UTC | NOVAVAX INC NVAX · Entity 4632 | PurchaseCommon Stock | 1,000 | $5.85 | $5,849.90 |
DisclosureSEC source: 0001209191-19-029410 · doc4.xml · nonDerivative · entry 1 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,386 Read SEC document |
| March 08, 2019 Filed Mar 12, 2019 23:03 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantRestricted Stock Units · Derivative | 76,083 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-018989 · doc4.xml · derivative · entry 2 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,083 Underlying: Common Stock · 76,083 shares Expires not disclosed 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: Vesting of the RSUs subject to this grant under the Plan is subject to the satisfaction of both (1) a time-based vesting requirement, pursuant to which one hundred percent (100%) of the RSUs vesting on the first anniversary of the Grant Date subject to continued employment through such vesting date; and (2) performance-based vesting requirements, pursuant to which (i) 80% of the RSUs will vest based on achieving a regulatory milestone associated with ResVax on or before September 30, 2019; or (ii) 20% of the RSUs will vest based on achieving a regulatory milestone associated with NanoFlu on or before September 30, 2019. F3 · derivative.expiration_date: Vesting of the RSUs subject to this grant under the Plan is subject to the satisfaction of both (1) a time-based vesting requirement, pursuant to which one hundred percent (100%) of the RSUs vesting on the first anniversary of the Grant Date subject to continued employment through such vesting date; and (2) performance-based vesting requirements, pursuant to which (i) 80% of the RSUs will vest based on achieving a regulatory milestone associated with ResVax on or before September 30, 2019; or (ii) 20% of the RSUs will vest based on achieving a regulatory milestone associated with NanoFlu on or before September 30, 2019. Read SEC document |
| March 08, 2019 Filed Mar 12, 2019 23:03 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantRestricted Stock Units · Derivative | 152,166 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-018989 · doc4.xml · derivative · entry 1 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,166 Underlying: Common Stock · 152,166 shares Expires not disclosed 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 (the "Plan"), will vest six (6) months from the March 8, 2019 grant date (the "Grant Date") subject to continued employment with the Company 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 (the "Plan"), will vest six (6) months from the March 8, 2019 grant date (the "Grant Date") subject to continued employment with the Company through the vesting date. Read SEC document |
| January 31, 2019 Filed Feb 4, 2019 21:23 UTC | NOVAVAX INC NVAX · Entity 4632 | PurchaseCommon Stock | 13,168 | $0.88 | $11,587.84 |
DisclosureSEC source: 0001209191-19-006787 · doc4.xml · nonDerivative · entry 1 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,386 F1 · balance_after: Includes 13,168 shares acquired under the Issuer's Amended and Restated 2013 Employee Stock Purchase Plan, as amended, on January 31, 2019. Read SEC document |
| December 13, 2018 Filed Dec 14, 2018 21:53 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Option (Right to Buy) · Derivative | 635,000 | $0.00 Strike: $2.30 | $0.00 |
DisclosureSEC source: 0001209191-18-062764 · doc4.xml · derivative · entry 1 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 635,000 Underlying: Common Stock · 635,000 shares Expires 2028-12-13 F1 · 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, will vest on the first anniversary of the December 13, 2018 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. Read SEC document |
| July 31, 2018 Filed Aug 1, 2018 21:11 UTC | NOVAVAX INC NVAX · Entity 4632 | PurchaseCommon Stock | 13,007 | $0.88 | $11,446.16 |
DisclosureSEC source: 0001209191-18-044767 · doc4.xml · nonDerivative · entry 1 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,218 F1 · balance_after: Includes 13,007 shares acquired under the Issuer's Amended and Restated 2013 Employee Stock Purchase Plan, as amended, on July 31, 2018. Read SEC document |
| May 14, 2018 Filed May 15, 2018 15:17 UTC | NOVAVAX INC NVAX · Entity 4632 | PurchaseCommon Stock | 19,900 | $1.64 | $32,636.00 |
DisclosureSEC source: 0001209191-18-030109 · doc4.xml · nonDerivative · entry 2 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,211 Read SEC document |
| May 14, 2018 Filed May 15, 2018 15:17 UTC | NOVAVAX INC NVAX · Entity 4632 | PurchaseCommon Stock | 100 | $1.64 | $163.50 |
DisclosureSEC source: 0001209191-18-030109 · doc4.xml · nonDerivative · entry 1 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,311 Read SEC document |
| January 31, 2018 Filed Feb 1, 2018 21:15 UTC | NOVAVAX INC NVAX · Entity 4632 | PurchaseCommon Stock | 12,784 | $0.88 | $11,249.92 |
DisclosureSEC source: 0001209191-18-006456 · doc4.xml · nonDerivative · entry 1 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,211 F1 · balance_after: Includes 12,784 shares acquired under the Issuer's Amended and Restated 2013 Employee Stock Purchase Plan on January 31, 2018. Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 21:14 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Option (Right to Buy) · Derivative | 500,000 | $0.00 Strike: $1.38 | $0.00 |
DisclosureSEC source: 0001209191-17-066323 · doc4.xml · derivative · entry 1 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Underlying: Common Stock · 500,000 shares Expires 2027-12-15 F1 · 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, will vest on the first anniversary of the December 15, 2017 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. Read SEC document |
| November 09, 2017 Filed Nov 13, 2017 13:15 UTC | NOVAVAX INC NVAX · Entity 4632 | PurchaseCommon Stock | 10,000 | $1.13 | $11,300.00 |
DisclosureSEC source: 0001209191-17-060143 · doc4.xml · nonDerivative · entry 1 Glenn Gregory M · CIK 0001342823 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,427 Read SEC document |
| December 07, 2016 Filed Dec 7, 2016 21:29 UTC | NOVAVAX INC NVAX · Entity 4632 | PurchaseCommon Stock | 1,000 | $1.45 | $1,446.00 |
DisclosureSEC 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 Read SEC document |
| November 14, 2016 Filed Nov 17, 2016 01:51 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Option (Right to Buy) · Derivative | 175,000 | $0.00 Strike: $1.35 | $0.00 |
DisclosureSEC 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. Read SEC document |
| November 14, 2016 Filed Nov 17, 2016 01:51 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Option (Right to Buy) · Derivative | 175,000 | $0.00 Strike: $1.35 | $0.00 |
DisclosureSEC 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. Read SEC document |
| September 21, 2016 Filed Sep 22, 2016 20:20 UTC | NOVAVAX INC NVAX · Entity 4632 | PurchaseCommon Stock | 1,000 | $1.65 | $1,649.00 |
DisclosureSEC 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 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.