Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NOVAVAX INCNVAX · Entity 4632 | President and COO | March 07, 2025 | March 11, 2025 |
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 07, 2025 · Filed March 11, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 68,061 |
Ending reported balance
After 2025-03-07 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2025-03-07 · Exercise / conversion · Acquired 28,890 · Balance 82,015 Row 2 · 2025-03-07 · Tax withholding · Disposed 13,954 · Balance 68,061 |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2033-03-07 | Direct | 28,890 |
Reported balance
After 2025-03-07 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-03-07 · Exercise / conversion · Disposed 28,890 · Balance 28,890 F1: One-third (1/3) of the RSUs subject to this grant under the Plan vest on each of the first three (3) anniversaries of the March 7, 2023 grant date, in each case subject to continued employment through such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: One-third (1/3) of the RSUs subject to this grant under the Plan vest on each of the first three (3) anniversaries of the March 7, 2023 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 |
|---|---|---|---|---|---|---|
| March 05, 2021 Filed Mar 10, 2021 00:38 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 160 | $157.08 | $25,132.80 |
DisclosureSEC source: 0001209191-21-019275 · doc4.xml · nonDerivative · entry 9 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,294 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 $156.46 to $157.43, 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 |
| March 05, 2021 Filed Mar 10, 2021 00:38 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 135 | $155.64 | $21,011.44 |
DisclosureSEC source: 0001209191-21-019275 · doc4.xml · nonDerivative · entry 8 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,454 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 $154.99 to $155.87, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| March 05, 2021 Filed Mar 10, 2021 00:38 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 185 | $154.00 | $28,490.44 |
DisclosureSEC source: 0001209191-21-019275 · doc4.xml · nonDerivative · entry 7 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,589 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 $153.88 to $154.72, 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 |
| March 05, 2021 Filed Mar 10, 2021 00:38 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 312 | $153.24 | $47,812.32 |
DisclosureSEC source: 0001209191-21-019275 · doc4.xml · nonDerivative · entry 6 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,774 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 $152.785 to $153.60, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| March 05, 2021 Filed Mar 10, 2021 00:38 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 150 | $152.39 | $22,859.18 |
DisclosureSEC source: 0001209191-21-019275 · doc4.xml · nonDerivative · entry 5 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,086 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 $151.73 to $152.60, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| March 05, 2021 Filed Mar 10, 2021 00:38 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 72 | $150.31 | $10,822.44 |
DisclosureSEC source: 0001209191-21-019275 · doc4.xml · nonDerivative · entry 4 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,236 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 $150.31 to $150.32, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| March 05, 2021 Filed Mar 10, 2021 00:38 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 2,083 | $5.95 | $12,393.85 |
DisclosureSEC source: 0001209191-21-019275 · doc4.xml · nonDerivative · entry 3 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,308 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 |
| March 05, 2021 Filed Mar 10, 2021 00:38 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 521 | $46.00 | $23,966.00 |
DisclosureSEC source: 0001209191-21-019275 · doc4.xml · nonDerivative · entry 2 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,225 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 |
| March 05, 2021 Filed Mar 10, 2021 00:38 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 417 | $27.60 | $11,509.20 |
DisclosureSEC source: 0001209191-21-019275 · doc4.xml · nonDerivative · entry 1 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 704 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 |
| February 09, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 194 | $324.50 | $62,953.00 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · nonDerivative · entry 21 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 287 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Appreciation Right · Derivative | 384 | $0.00 Strike: $5.95 | $0.00 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · derivative · entry 25 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,267 Underlying: Common Stock · 384 shares Expires 2029-09-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F12 · kind: The reporting person received 194 shares of common stock upon the net exercise of 384 stock appreciation rights. The reporting person forfeited 8 shares of common stock underlying the stock appreciation rights representing the base value and 182 shares of common stock underlying the stock appreciation rights to satisfy the withholding tax obligations resulting from the exercise, using the closing stock price on February 5, 2021 of $290.18. F16 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this stock appreciation right grant under the Plan vested on the first anniversary of the September 26, 2019 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date. Read SEC document |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 2,084 | $0.00 Strike: $5.95 | $0.00 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · derivative · entry 24 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,667 Underlying: Common Stock · 2,084 shares Expires 2029-09-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F15 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant under the Plan vested on the first anniversary of the September 26,2019 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date. Read SEC document |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 521 | $0.00 Strike: $46.00 | $0.00 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · derivative · entry 23 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,986 Underlying: Common Stock · 521 shares Expires 2028-12-13 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F14 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant under the Plan vested on the first anniversary of the December 13, 2018 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date. Read SEC document |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 417 | $0.00 Strike: $27.60 | $0.00 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · derivative · entry 22 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,592 Underlying: Common Stock · 417 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. F13 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant under the Novavax, Inc. Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan") vested on the first anniversary of the December 15, 2017 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date. Read SEC document |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | Tax withholdingCommon Stock | 182 | $290.18 | $52,812.76 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · nonDerivative · entry 20 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 481 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F12 · kind: The reporting person received 194 shares of common stock upon the net exercise of 384 stock appreciation rights. The reporting person forfeited 8 shares of common stock underlying the stock appreciation rights representing the base value and 182 shares of common stock underlying the stock appreciation rights to satisfy the withholding tax obligations resulting from the exercise, using the closing stock price on February 5, 2021 of $290.18. Read SEC document |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | Disposition to issuerCommon Stock | 8 | $290.18 | $2,321.44 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · nonDerivative · entry 19 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 663 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F12 · kind: The reporting person received 194 shares of common stock upon the net exercise of 384 stock appreciation rights. The reporting person forfeited 8 shares of common stock underlying the stock appreciation rights representing the base value and 182 shares of common stock underlying the stock appreciation rights to satisfy the withholding tax obligations resulting from the exercise, using the closing stock price on February 5, 2021 of $290.18. Read SEC document |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 384 | $5.95 | $2,284.80 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · nonDerivative · entry 18 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 671 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 · kind: The reporting person received 194 shares of common stock upon the net exercise of 384 stock appreciation rights. The reporting person forfeited 8 shares of common stock underlying the stock appreciation rights representing the base value and 182 shares of common stock underlying the stock appreciation rights to satisfy the withholding tax obligations resulting from the exercise, using the closing stock price on February 5, 2021 of $290.18. Read SEC document |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 25 | $298.80 | $7,470.00 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · nonDerivative · entry 17 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 287 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 30 | $297.82 | $8,934.60 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · nonDerivative · entry 16 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 312 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 104 | $296.96 | $30,884.28 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · nonDerivative · entry 15 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 342 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 $296.66 to $297.38, 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 |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 238 | $296.01 | $70,451.26 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · nonDerivative · entry 14 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 446 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 $295.56 to $296.47, 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 |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 625 | $295.05 | $184,403.63 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · nonDerivative · entry 13 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 684 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 $294.5350 to $295.53, 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 |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 405 | $293.96 | $119,053.56 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · nonDerivative · entry 12 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,309 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 $293.43 to $294.32, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 272 | $292.91 | $79,670.35 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · nonDerivative · entry 11 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,714 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 $292.41 to $293.30, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 117 | $291.79 | $34,139.14 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · nonDerivative · entry 10 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,986 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 $291.36 to $292.32, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 57 | $290.86 | $16,579.27 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · nonDerivative · entry 9 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,103 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 $290.35 to $291.17, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 55 | $289.45 | $15,919.50 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · nonDerivative · entry 8 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,160 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 $289.15 to $289.80, 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 |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 30 | $287.03 | $8,610.90 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · nonDerivative · entry 7 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,215 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 25 | $284.82 | $7,120.50 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · nonDerivative · entry 6 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,245 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 1,020 | $283.50 | $289,171.22 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · nonDerivative · entry 5 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,270 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 $283.46 to $284.24, 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 |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 19 | $282.00 | $5,358.06 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · nonDerivative · entry 4 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,290 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 $282.00 to $282.02, 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 |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 2,084 | $5.95 | $12,399.80 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · nonDerivative · entry 3 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,309 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 |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 521 | $46.00 | $23,966.00 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · nonDerivative · entry 2 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,225 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 |
| February 05, 2021 Filed Feb 10, 2021 00:40 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 417 | $27.60 | $11,509.20 |
DisclosureSEC source: 0001209191-21-009027 · doc4.xml · nonDerivative · entry 1 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 704 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 |
| January 25, 2021 Filed Jan 27, 2021 23:10 UTC Amendment | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 73 | $128.60 | $9,388.07 |
DisclosureSEC source: 0001209191-21-005739 · doc4a.xml · nonDerivative · entry 1 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 287 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F2 · kind: The Reporting Person is amending the Form 4 originally filed to report this sale solely for the purpose of correcting the column 3 code. The correct code is "S". Read SEC document |
| January 25, 2021 Filed Jan 27, 2021 22:57 UTC | NOVAVAX INC NVAX · Entity 4632 | Disposition to issuerCommon Stock | 73 | $128.60 | $9,388.07 |
DisclosureSEC source: 0001209191-21-005737 · doc4.xml · nonDerivative · entry 1 Trizzino John · CIK 0001468534 · EVP, Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 287 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| January 07, 2021 Filed Jan 8, 2021 00:08 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 506 | $124.17 | $62,830.12 |
DisclosureSEC source: 0001209191-21-002621 · doc4.xml · nonDerivative · entry 15 Trizzino John · CIK 0001468534 · EVP, CMO and CBO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 287 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 $124.03 to $124.57, 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 |
| January 05, 2021 Filed Jan 8, 2021 00:08 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Appreciation Right · Derivative | 1,149 | $0.00 Strike: $5.95 | $0.00 |
DisclosureSEC source: 0001209191-21-002621 · doc4.xml · derivative · entry 21 Trizzino John · CIK 0001468534 · EVP, CMO and CBO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,651 Underlying: Common Stock · 1,149 shares Expires 2029-09-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F8 · kind: The reporting person received 506 shares of common stock upon the net exercise of 1,149 stock appreciation rights. The reporting person forfeited 59 shares of common stock underlying the stock appreciation rights representing the base value and 584 shares of common stock underlying the stock appreciation rights to satisfy the withholding tax obligations resulting from the exercise, using the closing stock price on January 5, 2021 of $116.24. F15 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this stock appreciation right grant under the Plan vested on the first anniversary of the September 26, 2019 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years, in each case subject to continued employment through such vesting date. Read SEC document |
| January 05, 2021 Filed Jan 8, 2021 00:08 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 6,249 | $0.00 Strike: $5.95 | $0.00 |
DisclosureSEC source: 0001209191-21-002621 · doc4.xml · derivative · entry 20 Trizzino John · CIK 0001468534 · EVP, CMO and CBO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,751 Underlying: Common Stock · 6,249 shares Expires 2029-09-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F14 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant under the Plan vested on the first anniversary of the September 26,2019 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years, in each case subject to continued employment through such vesting date. Read SEC document |
| January 05, 2021 Filed Jan 8, 2021 00:08 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 2,082 | $0.00 Strike: $46.00 | $0.00 |
DisclosureSEC source: 0001209191-21-002621 · doc4.xml · derivative · entry 19 Trizzino John · CIK 0001468534 · EVP, CMO and CBO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,507 Underlying: Common Stock · 2,082 shares Expires 2028-12-13 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F13 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant under the Plan vested on the first anniversary of the December 13, 2018 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date. Read SEC document |
| January 05, 2021 Filed Jan 8, 2021 00:08 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 1,668 | $0.00 Strike: $27.60 | $0.00 |
DisclosureSEC source: 0001209191-21-002621 · doc4.xml · derivative · entry 18 Trizzino John · CIK 0001468534 · EVP, CMO and CBO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,009 Underlying: Common Stock · 1,668 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 Plan vested on the first anniversary of the December 15, 2017 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date. Read SEC document |
| January 05, 2021 Filed Jan 8, 2021 00:08 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 2,214 | $0.00 Strike: $27.00 | $0.00 |
DisclosureSEC source: 0001209191-21-002621 · doc4.xml · derivative · entry 17 Trizzino John · CIK 0001468534 · EVP, CMO and CBO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,214 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. F11 · derivative.exercise_date: Vesting of the shares subject to this option grant under the Plan were subject to the satisfaction of both (1) a time-based vesting requirement, pursuant to which twenty-five percent (25%) of the shares vested on the first anniversary of the November 14, 2016 grant date, and the remaining seventy-five percent (75%) of the shares vested in equal monthly installments on the first of each month over the following three (3) years, subject to continued employment through such vesting date, and (2) a performance-based vesting requirement, pursuant to which 33.33%, 33.33%, and 33.34% of the shares vested, if at any time during the four-year period from the November 14, 2016 grant date, the volume-weighted average stock price of Novavax, Inc.'s common stock met or exceeded $80.00, $120.00, or $160.00, respectively, for twenty (20) consecutive trading days. Novavax Inc.'s common stock did not meet $160.00 for twenty (20) consecutive trading days and therefore 2,084 shares were cancelled. Read SEC document |
| January 05, 2021 Filed Jan 8, 2021 00:08 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 394 | $0.00 Strike: $27.00 | $0.00 |
DisclosureSEC source: 0001209191-21-002621 · doc4.xml · derivative · entry 16 Trizzino John · CIK 0001468534 · EVP, CMO and CBO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 394 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. F10 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant under the Novavax, Inc. Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan") vested on the first anniversary of the November 14, 2016 grant date, and the remaining seventy-five percent (75%) of the shares vested in equal monthly installments over the following three (3) years subject to continued employment through such vesting date. Read SEC document |
| January 05, 2021 Filed Jan 8, 2021 00:08 UTC | NOVAVAX INC NVAX · Entity 4632 | Tax withholdingCommon Stock | 584 | $116.24 | $67,884.16 |
DisclosureSEC source: 0001209191-21-002621 · doc4.xml · nonDerivative · entry 14 Trizzino John · CIK 0001468534 · EVP, CMO and CBO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 793 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F8 · kind: The reporting person received 506 shares of common stock upon the net exercise of 1,149 stock appreciation rights. The reporting person forfeited 59 shares of common stock underlying the stock appreciation rights representing the base value and 584 shares of common stock underlying the stock appreciation rights to satisfy the withholding tax obligations resulting from the exercise, using the closing stock price on January 5, 2021 of $116.24. Read SEC document |
| January 05, 2021 Filed Jan 8, 2021 00:08 UTC | NOVAVAX INC NVAX · Entity 4632 | Disposition to issuerCommon Stock | 59 | $116.24 | $6,858.16 |
DisclosureSEC source: 0001209191-21-002621 · doc4.xml · nonDerivative · entry 13 Trizzino John · CIK 0001468534 · EVP, CMO and CBO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,377 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F8 · kind: The reporting person received 506 shares of common stock upon the net exercise of 1,149 stock appreciation rights. The reporting person forfeited 59 shares of common stock underlying the stock appreciation rights representing the base value and 584 shares of common stock underlying the stock appreciation rights to satisfy the withholding tax obligations resulting from the exercise, using the closing stock price on January 5, 2021 of $116.24. Read SEC document |
| January 05, 2021 Filed Jan 8, 2021 00:08 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 1,149 | $5.95 | $6,836.55 |
DisclosureSEC source: 0001209191-21-002621 · doc4.xml · nonDerivative · entry 12 Trizzino John · CIK 0001468534 · EVP, CMO and CBO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,436 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. F8 · kind: The reporting person received 506 shares of common stock upon the net exercise of 1,149 stock appreciation rights. The reporting person forfeited 59 shares of common stock underlying the stock appreciation rights representing the base value and 584 shares of common stock underlying the stock appreciation rights to satisfy the withholding tax obligations resulting from the exercise, using the closing stock price on January 5, 2021 of $116.24. Read SEC document |
| January 05, 2021 Filed Jan 8, 2021 00:08 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 349 | $115.11 | $40,171.92 |
DisclosureSEC source: 0001209191-21-002621 · doc4.xml · nonDerivative · entry 11 Trizzino John · CIK 0001468534 · EVP, CMO and CBO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 287 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 $115.06 to $115.15, 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 |
| January 05, 2021 Filed Jan 8, 2021 00:08 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 1,500 | $114.25 | $171,378.00 |
DisclosureSEC source: 0001209191-21-002621 · doc4.xml · nonDerivative · entry 10 Trizzino John · CIK 0001468534 · EVP, CMO and CBO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 636 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 $113.94 to $114.76, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| January 05, 2021 Filed Jan 8, 2021 00:08 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 3,500 | $113.29 | $396,511.15 |
DisclosureSEC source: 0001209191-21-002621 · doc4.xml · nonDerivative · entry 9 Trizzino John · CIK 0001468534 · EVP, CMO and CBO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,136 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 $112.74 to $113.70, 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 |
| January 05, 2021 Filed Jan 8, 2021 00:08 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 4,194 | $112.19 | $470,524.86 |
DisclosureSEC source: 0001209191-21-002621 · doc4.xml · nonDerivative · entry 8 Trizzino John · CIK 0001468534 · EVP, CMO and CBO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,636 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 $111.73 to $112.72, 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.