Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BIOCRYST PHARMACEUTICALS INCBCRX · Entity 315 | Director | November 28, 2018 | November 30, 2018 |
| MAXCYTE, INC.MXCT · Entity 6608 | Director | June 17, 2026 | June 22, 2026 |
| NOVAVAX INCNVAX · Entity 4632 | Director · President and CEO | December 14, 2022 | December 16, 2022 |
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.
BIOCRYST PHARMACEUTICALS INC
Report date November 28, 2018 · Filed November 30, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 48,333 |
Reported balance
After 2018-11-28 transaction · row 1
1 source rowRow 1 · 2018-11-28 · Exercise / conversion · Acquired 8,333 · Balance 48,333 |
| Non-Qualified Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $1.49 · Expires 2018-12-22 | Direct | 0 |
Reported balance
After 2018-11-28 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-11-28 · Exercise / conversion · Disposed 8,333 · Balance 0 |
MAXCYTE, INC.
Report date June 17, 2026 · Filed June 22, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 428,749 |
Reported balance
After 2026-06-17 transaction · row 1
1 source rowRow 1 · 2026-06-17 · Grant · Acquired 30,421 · Balance 428,749 F1: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. F2: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 17, 2027, subject to the reporting person's continuous service as of such vesting date. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.13 · Expires 2036-06-16 | Direct | 49,579 |
Reported balance
After 2026-06-17 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-06-17 · Grant · Acquired 49,579 · Balance 49,579 F2: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 17, 2027, subject to the reporting person's continuous service as of such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.
F2: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 17, 2027, subject to the reporting person's continuous service as of such vesting date.
NOVAVAX INC
Report date December 14, 2022 · Filed December 16, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 38,812 |
Reported balance
After 2022-12-14 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-12-14 · Exercise / conversion · Acquired 6,966 · Balance 38,812 F1: The shares were received by the Reporting Person in connection with vesting of restricted stock units ("RSUs"). F2: Each RSU represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. |
| Common StockSEC Table I · non-derivative | Direct | 36,492 |
Reported balance
After 2022-12-14 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2022-12-14 · Tax withholding · Disposed 2,320 · Balance 36,492 F3: The shares were withheld by the Company to satisfy tax withholding obligations in connection with the vesting of RSUs. F4: The shares reported on this Form 4 are subject to a lock-up agreement between the Reporting Person, J.P. Morgan Securities LLC and Jefferies LLC, dated December 14, 2022. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 6,967 |
Reported balance
After 2022-12-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-12-14 · Exercise / conversion · Disposed 6,966 · Balance 6,967 F2: Each RSU represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. F5: 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 December 14, 2020 grant date, in each case subject to continued employment through such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were received by the Reporting Person in connection with vesting of restricted stock units ("RSUs").
F2: Each RSU represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.
F3: The shares were withheld by the Company to satisfy tax withholding obligations in connection with the vesting of RSUs.
F4: The shares reported on this Form 4 are subject to a lock-up agreement between the Reporting Person, J.P. Morgan Securities LLC and Jefferies LLC, dated December 14, 2022.
F5: 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 December 14, 2020 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 |
|---|---|---|---|---|---|---|
| June 17, 2026 Filed Jun 22, 2026 20:28 UTC | MAXCYTE, INC. MXCT · Entity 6608 | GrantStock Option (right to buy) · Derivative | 49,579 | $0.00 Strike: $1.13 | $0.00 |
DisclosureSEC source: 0000905148-26-003054 · form4.xml · derivative · entry 2 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 49,579 Underlying: Common Stock · 49,579 shares Expires 2036-06-16 F2 · derivative.exercise_date: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 17, 2027, subject to the reporting person's continuous service as of such vesting date. Read SEC document |
| June 17, 2026 Filed Jun 22, 2026 20:28 UTC | MAXCYTE, INC. MXCT · Entity 6608 | GrantCommon Stock | 30,421 | $0.00 | $0.00 |
DisclosureSEC source: 0000905148-26-003054 · form4.xml · nonDerivative · entry 1 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 428,749 F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. F2 · shares: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 17, 2027, subject to the reporting person's continuous service as of such vesting date. Read SEC document |
| August 13, 2025 Filed Aug 13, 2025 23:47 UTC | MAXCYTE, INC. MXCT · Entity 6608 | PurchaseCommon Stock | 100,000 | $1.37 | $137,220.00 |
DisclosureSEC source: 0000905148-25-002875 · form4.xml · nonDerivative · entry 1 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 398,328 F1 · price: These shares were purchased in multiple transactions at prices ranging from $1.29 to $1.44, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| June 18, 2025 Filed Jun 23, 2025 22:41 UTC | MAXCYTE, INC. MXCT · Entity 6608 | GrantStock Option (right to buy) · Derivative | 50,790 | $0.00 Strike: $2.11 | $0.00 |
DisclosureSEC source: 0000905148-25-002233 · form4.xml · derivative · entry 2 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,790 Underlying: Common Stock · 50,790 shares Expires 2035-06-17 F2 · derivative.exercise_date: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 18, 2026, subject to the reporting person's continuous service as of such vesting date. Read SEC document |
| June 18, 2025 Filed Jun 23, 2025 22:41 UTC | MAXCYTE, INC. MXCT · Entity 6608 | GrantCommon Stock | 29,210 | $0.00 | $0.00 |
DisclosureSEC source: 0000905148-25-002233 · form4.xml · nonDerivative · entry 1 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 298,328 F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. F2 · shares: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 18, 2026, subject to the reporting person's continuous service as of such vesting date. Read SEC document |
| November 01, 2024 Filed Nov 5, 2024 21:25 UTC | MAXCYTE, INC. MXCT · Entity 6608 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 47,689 | $0.00 Strike: $0.04 | $0.00 |
DisclosureSEC source: 0001415889-24-026144 · form4-11052024_041101.xml · derivative · entry 3 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 47,689 shares Expires 2024-11-11 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 sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 12, 2024. The option that is the subject of the trading plan is scheduled to expire by its terms on November 11, 2024. F3 · derivative.exercise_date: This option is fully vested and exercisable. Read SEC document |
| November 01, 2024 Filed Nov 5, 2024 21:25 UTC | MAXCYTE, INC. MXCT · Entity 6608 | SaleCommon Stock | 47,689 | $3.72 | $177,403.08 |
DisclosureSEC source: 0001415889-24-026144 · form4-11052024_041101.xml · nonDerivative · entry 2 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 269,118 F1 · kind: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 12, 2024. The option that is the subject of the trading plan is scheduled to expire by its terms on November 11, 2024. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.61 to $3.755, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 01, 2024 Filed Nov 5, 2024 21:25 UTC | MAXCYTE, INC. MXCT · Entity 6608 | Exercise / conversionCommon Stock | 47,689 | $0.04 | $1,907.56 |
DisclosureSEC source: 0001415889-24-026144 · form4-11052024_041101.xml · nonDerivative · entry 1 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 316,807 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 sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 12, 2024. The option that is the subject of the trading plan is scheduled to expire by its terms on November 11, 2024. Read SEC document |
| October 02, 2024 Filed Oct 2, 2024 21:03 UTC | MAXCYTE, INC. MXCT · Entity 6608 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 21,607 | $0.00 Strike: $0.04 | $0.00 |
DisclosureSEC source: 0001415889-24-024454 · form4-10022024_091036.xml · derivative · entry 6 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 47,689 Underlying: Common Stock · 21,607 shares Expires 2024-11-11 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 sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 12, 2024. The option that is the subject of the trading plan is scheduled to expire by its terms on November 11, 2024. F4 · derivative.exercise_date: This option is fully vested and exercisable. Read SEC document |
| October 02, 2024 Filed Oct 2, 2024 21:03 UTC | MAXCYTE, INC. MXCT · Entity 6608 | SaleCommon Stock | 21,607 | $3.71 | $80,161.97 |
DisclosureSEC source: 0001415889-24-024454 · form4-10022024_091036.xml · nonDerivative · entry 4 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 269,118 F1 · kind: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 12, 2024. The option that is the subject of the trading plan is scheduled to expire by its terms on November 11, 2024. F3 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.625 to $3.77, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| October 02, 2024 Filed Oct 2, 2024 21:03 UTC | MAXCYTE, INC. MXCT · Entity 6608 | Exercise / conversionCommon Stock | 21,607 | $0.04 | $864.28 |
DisclosureSEC source: 0001415889-24-024454 · form4-10022024_091036.xml · nonDerivative · entry 3 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 290,725 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 sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 12, 2024. The option that is the subject of the trading plan is scheduled to expire by its terms on November 11, 2024. Read SEC document |
| October 01, 2024 Filed Oct 2, 2024 21:03 UTC | MAXCYTE, INC. MXCT · Entity 6608 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 26,082 | $0.00 Strike: $0.04 | $0.00 |
DisclosureSEC source: 0001415889-24-024454 · form4-10022024_091036.xml · derivative · entry 5 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 69,296 Underlying: Common Stock · 26,082 shares Expires 2024-11-11 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 sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 12, 2024. The option that is the subject of the trading plan is scheduled to expire by its terms on November 11, 2024. F4 · derivative.exercise_date: This option is fully vested and exercisable. Read SEC document |
| October 01, 2024 Filed Oct 2, 2024 21:03 UTC | MAXCYTE, INC. MXCT · Entity 6608 | SaleCommon Stock | 26,082 | $3.78 | $98,589.96 |
DisclosureSEC source: 0001415889-24-024454 · form4-10022024_091036.xml · nonDerivative · entry 2 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 269,118 F1 · kind: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 12, 2024. The option that is the subject of the trading plan is scheduled to expire by its terms on November 11, 2024. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.69 to $3.88, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| October 01, 2024 Filed Oct 2, 2024 21:03 UTC | MAXCYTE, INC. MXCT · Entity 6608 | Exercise / conversionCommon Stock | 26,082 | $0.04 | $1,043.28 |
DisclosureSEC source: 0001415889-24-024454 · form4-10022024_091036.xml · nonDerivative · entry 1 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 295,200 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 sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 12, 2024. The option that is the subject of the trading plan is scheduled to expire by its terms on November 11, 2024. Read SEC document |
| September 04, 2024 Filed Sep 5, 2024 21:10 UTC | MAXCYTE, INC. MXCT · Entity 6608 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 29,767 | $0.00 Strike: $0.04 | $0.00 |
DisclosureSEC source: 0001415889-24-022941 · form4-09052024_090936.xml · derivative · entry 6 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 95,378 Underlying: Common Stock · 29,767 shares Expires 2024-11-11 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 sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 12, 2024. The option that is the subject of the trading plan is scheduled to expire by its terms on November 11, 2024. F4 · derivative.exercise_date: This option is fully vested and exercisable. Read SEC document |
| September 04, 2024 Filed Sep 5, 2024 21:10 UTC | MAXCYTE, INC. MXCT · Entity 6608 | SaleCommon Stock | 29,767 | $3.97 | $118,174.99 |
DisclosureSEC source: 0001415889-24-022941 · form4-09052024_090936.xml · nonDerivative · entry 4 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 269,118 F1 · kind: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 12, 2024. The option that is the subject of the trading plan is scheduled to expire by its terms on November 11, 2024. F3 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.90 to $4.07, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| September 04, 2024 Filed Sep 5, 2024 21:10 UTC | MAXCYTE, INC. MXCT · Entity 6608 | Exercise / conversionCommon Stock | 29,767 | $0.04 | $1,190.68 |
DisclosureSEC source: 0001415889-24-022941 · form4-09052024_090936.xml · nonDerivative · entry 3 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 298,885 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 sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 12, 2024. The option that is the subject of the trading plan is scheduled to expire by its terms on November 11, 2024. Read SEC document |
| September 03, 2024 Filed Sep 5, 2024 21:10 UTC | MAXCYTE, INC. MXCT · Entity 6608 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 17,922 | $0.00 Strike: $0.04 | $0.00 |
DisclosureSEC source: 0001415889-24-022941 · form4-09052024_090936.xml · derivative · entry 5 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 125,145 Underlying: Common Stock · 17,922 shares Expires 2024-11-11 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 sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 12, 2024. The option that is the subject of the trading plan is scheduled to expire by its terms on November 11, 2024. F4 · derivative.exercise_date: This option is fully vested and exercisable. Read SEC document |
| September 03, 2024 Filed Sep 5, 2024 21:10 UTC | MAXCYTE, INC. MXCT · Entity 6608 | SaleCommon Stock | 17,922 | $4.10 | $73,480.20 |
DisclosureSEC source: 0001415889-24-022941 · form4-09052024_090936.xml · nonDerivative · entry 2 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 269,118 F1 · kind: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 12, 2024. The option that is the subject of the trading plan is scheduled to expire by its terms on November 11, 2024. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.04 to $4.30, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| September 03, 2024 Filed Sep 5, 2024 21:10 UTC | MAXCYTE, INC. MXCT · Entity 6608 | Exercise / conversionCommon Stock | 17,922 | $0.04 | $716.88 |
DisclosureSEC source: 0001415889-24-022941 · form4-09052024_090936.xml · nonDerivative · entry 1 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 287,040 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 sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 12, 2024. The option that is the subject of the trading plan is scheduled to expire by its terms on November 11, 2024. Read SEC document |
| June 11, 2024 Filed Jun 13, 2024 21:37 UTC | MAXCYTE, INC. MXCT · Entity 6608 | GrantStock Option (right to buy) · Derivative | 40,701 | $0.00 Strike: $4.68 | $0.00 |
DisclosureSEC source: 0001415889-24-016711 · form4-06132024_090659.xml · derivative · entry 2 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,701 Underlying: Common Stock · 40,701 shares Expires 2034-06-10 F2 · derivative.exercise_date: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 11, 2025, subject to the reporting person's continuous service as of such vesting date. Read SEC document |
| June 11, 2024 Filed Jun 13, 2024 21:37 UTC | MAXCYTE, INC. MXCT · Entity 6608 | GrantCommon Stock | 21,367 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-016711 · form4-06132024_090659.xml · nonDerivative · entry 1 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 269,118 F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. F2 · shares: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 11, 2025, subject to the reporting person's continuous service as of such vesting date. Read SEC document |
| June 22, 2023 Filed Jun 23, 2023 21:36 UTC | MAXCYTE, INC. MXCT · Entity 6608 | GrantStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $4.57 | $0.00 |
DisclosureSEC source: 0001209191-23-039480 · doc4.xml · derivative · entry 1 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2033-06-21 F1 · derivative.exercise_date: This annual option grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this option vest on June 22, 2024, subject to the reporting person's continuous service as of such vesting date. Read SEC document |
| December 14, 2022 Filed Dec 16, 2022 22:00 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionRestricted Stock Units · Derivative | 6,966 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-061699 · doc4.xml · derivative · entry 3 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,967 Underlying: Common Stock · 6,966 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. F5 · 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 December 14, 2020 grant date, in each case subject to continued employment through such vesting date. F5 · 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 December 14, 2020 grant date, in each case subject to continued employment through such vesting date. Read SEC document |
| December 14, 2022 Filed Dec 16, 2022 22:00 UTC | NOVAVAX INC NVAX · Entity 4632 | Tax withholdingCommon Stock | 2,320 | $17.23 | $39,973.60 |
DisclosureSEC source: 0001209191-22-061699 · doc4.xml · nonDerivative · entry 2 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,492 F3 · kind: The shares were withheld by the Company to satisfy tax withholding obligations in connection with the vesting of RSUs. F4 · balance_after: The shares reported on this Form 4 are subject to a lock-up agreement between the Reporting Person, J.P. Morgan Securities LLC and Jefferies LLC, dated December 14, 2022. Read SEC document |
| December 14, 2022 Filed Dec 16, 2022 22:00 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 6,966 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-22-061699 · doc4.xml · nonDerivative · entry 1 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,812 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 shares were received by the Reporting Person in connection with vesting of restricted stock units ("RSUs"). F2 · price: Each RSU represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. Read SEC document |
| September 26, 2022 Filed Sep 28, 2022 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionRestricted Stock Units · Derivative | 6,546 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-051472 · doc4.xml · derivative · entry 3 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,546 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. F2 · derivative.exercise_date: The RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested with respect to one-third (1/3) of the RSUs on each of the first three (3) anniversaries of the September 26, 2019 grant date, in each case subject to continued employment through such vesting date. F2 · derivative.expiration_date: The RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested with respect to one-third (1/3) of the RSUs on each of the first three (3) anniversaries of the September 26, 2019 grant date, in each case subject to continued employment through such vesting date. Read SEC document |
| September 26, 2022 Filed Sep 28, 2022 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | Tax withholdingCommon Stock | 2,180 | $18.87 | $41,136.60 |
DisclosureSEC source: 0001209191-22-051472 · doc4.xml · nonDerivative · entry 2 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,846 Read SEC document |
| September 26, 2022 Filed Sep 28, 2022 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 6,546 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-22-051472 · doc4.xml · nonDerivative · entry 1 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,026 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 |
| June 29, 2022 Filed Jul 8, 2022 20:04 UTC | MAXCYTE, INC. MXCT · Entity 6608 | GrantStock Option (right to buy) · Derivative | 26,900 | $0.00 Strike: $4.82 | $0.00 |
DisclosureSEC source: 0001209191-22-041608 · doc4.xml · derivative · entry 1 Erck Stanley C · CIK 0001342826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,900 Underlying: Common Stock · 26,900 shares Expires 2032-06-28 F1 · derivative.exercise_date: This annual option grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this option vest on June 29, 2023, subject to the reporting person's continuous service as of such vesting date. Read SEC document |
| March 10, 2022 Filed Mar 14, 2022 23:43 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantRestricted Stock Units · Derivative | 41,474 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-018656 · doc4.xml · derivative · entry 2 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,474 Underlying: Common Stock · 41,474 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's common stock. F3 · derivative.exercise_date: One-third (1/3) of the RSUs subject to this grant under the Plan will vest on each of the first three (3) anniversaries of the Grant Date, in each case subject to continued employment through such vesting date. F3 · derivative.expiration_date: One-third (1/3) of the RSUs subject to this grant under the Plan will vest on each of the first three (3) anniversaries of the Grant Date, in each case subject to continued employment through such vesting date. Read SEC document |
| March 10, 2022 Filed Mar 14, 2022 23:43 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Option (Right to Buy) · Derivative | 62,211 | $0.00 Strike: $77.77 | $0.00 |
DisclosureSEC source: 0001209191-22-018656 · doc4.xml · derivative · entry 1 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,211 Underlying: Common Stock · 62,211 shares Expires 2032-03-10 F1 · derivative.exercise_date: Twenty-five percent (25%) 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 on the first anniversary of the March 10, 2022 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 |
| December 14, 2021 Filed Dec 16, 2021 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionRestricted Stock Units · Derivative | 6,967 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-070007 · doc4.xml · derivative · entry 3 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,933 Underlying: Common Stock · 6,967 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 December 14, 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 December 14, 2020 grant date, in each case subject to continued employment through such vesting date. Read SEC document |
| December 14, 2021 Filed Dec 16, 2021 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | Tax withholdingCommon Stock | 3,366 | $168.43 | $566,935.38 |
DisclosureSEC source: 0001209191-21-070007 · doc4.xml · nonDerivative · entry 2 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,480 Read SEC document |
| December 14, 2021 Filed Dec 16, 2021 22:14 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 6,967 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-070007 · doc4.xml · nonDerivative · entry 1 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,846 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 |
| October 04, 2021 Filed Oct 5, 2021 21:05 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 10,829 | $0.00 Strike: $27.00 | $0.00 |
DisclosureSEC source: 0001209191-21-059557 · doc4.xml · derivative · entry 14 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,829 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. F13 · 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 the Company's common stock met or exceeded $80.00, $120.00, or $160.00, respectively, for twenty (20) consecutive trading days. The Company's common stock did not meet $160.00 for twenty (20) consecutive trading days and therefore 9,171 shares were cancelled. Read SEC document |
| October 04, 2021 Filed Oct 5, 2021 21:05 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 32,000 | $0.00 Strike: $27.60 | $0.00 |
DisclosureSEC source: 0001209191-21-059557 · doc4.xml · derivative · entry 13 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,499 Underlying: Common Stock · 32,000 shares Expires 2027-12-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F12 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant under the Company Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"), vested on the first anniversary of the December 15, 2017 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through each such vesting date. Read SEC document |
| October 04, 2021 Filed Oct 5, 2021 21:05 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 500 | $180.58 | $90,290.00 |
DisclosureSEC source: 0001209191-21-059557 · doc4.xml · nonDerivative · entry 12 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,879 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F11 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.31 to $180.74, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| October 04, 2021 Filed Oct 5, 2021 21:05 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 3,300 | $179.48 | $592,282.02 |
DisclosureSEC source: 0001209191-21-059557 · doc4.xml · nonDerivative · entry 11 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,379 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F10 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.05 to $180.00, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| October 04, 2021 Filed Oct 5, 2021 21:05 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 8,563 | $178.46 | $1,528,182.09 |
DisclosureSEC source: 0001209191-21-059557 · doc4.xml · nonDerivative · entry 10 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,679 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F9 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $178.04 to $178.98, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| October 04, 2021 Filed Oct 5, 2021 21:05 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 8,890 | $177.58 | $1,578,724.43 |
DisclosureSEC source: 0001209191-21-059557 · doc4.xml · nonDerivative · entry 9 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,242 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F8 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $177.03 to $178.02, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| October 04, 2021 Filed Oct 5, 2021 21:05 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 4,700 | $176.48 | $829,433.91 |
DisclosureSEC source: 0001209191-21-059557 · doc4.xml · nonDerivative · entry 8 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,132 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F7 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $176.01 to $176.99, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| October 04, 2021 Filed Oct 5, 2021 21:05 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 3,600 | $175.61 | $632,198.16 |
DisclosureSEC source: 0001209191-21-059557 · doc4.xml · nonDerivative · entry 7 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,832 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F6 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $175.01 to $175.99, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| October 04, 2021 Filed Oct 5, 2021 21:05 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 3,100 | $174.56 | $541,141.89 |
DisclosureSEC source: 0001209191-21-059557 · doc4.xml · nonDerivative · entry 6 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,432 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F5 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $174.01 to $174.97, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| October 04, 2021 Filed Oct 5, 2021 21:05 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 5,038 | $173.45 | $873,829.01 |
DisclosureSEC source: 0001209191-21-059557 · doc4.xml · nonDerivative · entry 5 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,532 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F4 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $172.93 to $173.92, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| October 04, 2021 Filed Oct 5, 2021 21:05 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 3,746 | $172.36 | $645,672.17 |
DisclosureSEC source: 0001209191-21-059557 · doc4.xml · nonDerivative · entry 4 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,570 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F3 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $171.92 to $172.88, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| October 04, 2021 Filed Oct 5, 2021 21:05 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 1,392 | $166.98 | $232,441.03 |
DisclosureSEC source: 0001209191-21-059557 · doc4.xml · nonDerivative · entry 3 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,316 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 $166.94 to $167.04, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| October 04, 2021 Filed Oct 5, 2021 21:05 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 10,829 | $27.00 | $292,383.00 |
DisclosureSEC source: 0001209191-21-059557 · doc4.xml · nonDerivative · entry 2 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,708 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. Read SEC document |
| October 04, 2021 Filed Oct 5, 2021 21:05 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 32,000 | $27.60 | $883,200.00 |
DisclosureSEC source: 0001209191-21-059557 · doc4.xml · nonDerivative · entry 1 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,879 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. Read SEC document |
| October 01, 2021 Filed Oct 5, 2021 21:04 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $27.00 | $0.00 |
DisclosureSEC source: 0001209191-21-059552 · doc4.xml · derivative · entry 27 Erck Stanley C · CIK 0001342826 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,829 Underlying: Common Stock · 35,000 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. F24 · 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 the Company's common stock met or exceeded $80.00, $120.00, or $160.00, respectively, for twenty (20) consecutive trading days. The Company's common stock did not meet $160.00 for twenty (20) consecutive trading days and therefore 9,171 shares were cancelled. 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.