Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NOVAVAX INCNVAX · Entity 4632 | EVP, Chief Legal Officer | December 14, 2023 | December 18, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
NOVAVAX INC
Report date December 14, 2023 · Filed December 18, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 13,233 |
Ending reported balance
After 2023-12-14 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-12-14 · Exercise / conversion · Acquired 2,100 · Balance 13,933 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax common stock. Row 2 · 2023-12-14 · Tax withholding · Disposed 700 · Balance 13,233 F2: The shares were withheld by the Company to satisfy tax withholding obligations in connection with the vesting of RSUs. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-12-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-12-14 · Exercise / conversion · Disposed 2,100 · Balance 0 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax common stock. F3: 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 December 14, 2020 grant date, in each case subject to continued employment with the Company through such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax common stock.
F2: The shares were withheld by the Company to satisfy tax withholding obligations in connection with the vesting of RSUs.
F3: 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 December 14, 2020 grant date, in each case subject to continued employment with the Company 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 |
|---|---|---|---|---|---|---|
| December 01, 2021 Filed Dec 3, 2021 23:30 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 943 | $196.11 | $184,931.82 |
DisclosureSEC source: 0001209191-21-067969 · doc4.xml · nonDerivative · entry 5 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,426 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 $195.70 to $196.65, 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 |
| December 01, 2021 Filed Dec 3, 2021 23:30 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 900 | $194.54 | $175,085.01 |
DisclosureSEC source: 0001209191-21-067969 · doc4.xml · nonDerivative · entry 4 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,369 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 $194.25 to $195.09, 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 |
| December 01, 2021 Filed Dec 3, 2021 23:30 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 800 | $193.79 | $155,034.00 |
DisclosureSEC source: 0001209191-21-067969 · doc4.xml · nonDerivative · entry 3 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,269 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 $193.24 to $194.17, 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 |
| December 01, 2021 Filed Dec 3, 2021 23:30 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 691 | $192.64 | $133,112.72 |
DisclosureSEC source: 0001209191-21-067969 · doc4.xml · nonDerivative · entry 2 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,069 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 $192.24 to $192.99, 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 |
| December 01, 2021 Filed Dec 3, 2021 23:30 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 5,000 | $19.08 | $95,400.00 |
DisclosureSEC source: 0001209191-21-067969 · doc4.xml · nonDerivative · entry 1 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,760 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| November 29, 2021 Filed Dec 1, 2021 22:02 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,000 | $0.00 Strike: $19.08 | $0.00 |
DisclosureSEC source: 0001209191-21-067292 · doc4.xml · derivative · entry 4 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,000 Underlying: Common Stock · 5,000 shares Expires 2030-04-17 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. F3 · derivative.exercise_date: On April 17, 2020, the reporting person was granted an option to purchase 125,000 shares of common stock of the Company pursuant to the Company's Amended and Restated 2015 Stock Incentive Plan, as amended. The vesting of the shares subject to this option grant is subject to the satisfaction of a performance-based vesting requirement, followed by time-based vesting. The performance metric required that the Company initiate a COVID-19 Phase 2 clinical trial within twelve (12) months of the grant date, which occurred when the Company initiated its Phase 2 clinical trial of NVX-CoV2373 in the U.S. on August 24, 2020. Following that event, fifty percent (50%) of the shares vested on August 24, 2021, the first anniversary of the initiation date, and the remaining fifty percent (50%) of the shares will vest on August 24, 2022, the second anniversary of the initiation date subject to continued employment through such vesting date. Read SEC document |
| November 29, 2021 Filed Dec 1, 2021 22:02 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 5,000 | $228.72 | $1,143,600.00 |
DisclosureSEC source: 0001209191-21-067292 · doc4.xml · nonDerivative · entry 2 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,760 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| November 29, 2021 Filed Dec 1, 2021 22:02 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 5,000 | $19.08 | $95,400.00 |
DisclosureSEC source: 0001209191-21-067292 · doc4.xml · nonDerivative · entry 1 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,760 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| November 03, 2021 Filed Nov 5, 2021 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,000 | $0.00 Strike: $19.08 | $0.00 |
DisclosureSEC source: 0001209191-21-063205 · doc4.xml · derivative · entry 4 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 5,000 shares Expires 2030-04-17 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. F3 · derivative.exercise_date: On April 17, 2020, the reporting person was granted an option to purchase 125,000 shares of common stock of the Company pursuant to the Company's Amended and Restated 2015 Stock Incentive Plan, as amended. The vesting of the shares subject to this option grant is subject to the satisfaction of a performance-based vesting requirement, followed by time-based vesting. The performance metric required that the Company initiate a COVID-19 Phase 2 clinical trial within twelve (12) months of the grant date, which occurred when the Company initiated its Phase 2 clinical trial of NVX-CoV2373 in the U.S. on August 24, 2020. Following that event, fifty percent (50%) of the shares vested on August 24, 2021, the first anniversary of the initiation date, and the remaining fifty percent (50%) of the shares will vest on August 24, 2022, the second anniversary of the initiation date subject to continued employment through such vesting date. Read SEC document |
| November 03, 2021 Filed Nov 5, 2021 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 5,000 | $200.00 | $1,000,000.00 |
DisclosureSEC source: 0001209191-21-063205 · doc4.xml · nonDerivative · entry 2 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,760 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| November 03, 2021 Filed Nov 5, 2021 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 5,000 | $19.08 | $95,400.00 |
DisclosureSEC source: 0001209191-21-063205 · doc4.xml · nonDerivative · entry 1 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,760 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| November 01, 2021 Filed Nov 3, 2021 20:49 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,000 | $0.00 Strike: $19.08 | $0.00 |
DisclosureSEC source: 0001209191-21-062725 · doc4.xml · derivative · entry 18 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,000 Underlying: Common Stock · 5,000 shares Expires 2030-04-17 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. F16 · derivative.exercise_date: On April 17, 2020, the reporting person was granted an option to purchase 125,000 shares of common stock of the Company pursuant to the Company's Amended and Restated 2015 Stock Incentive Plan, as amended. The vesting of the shares subject to this option grant is subject to the satisfaction of a performance-based vesting requirement, followed by time-based vesting. The performance metric required that the Company initiate a COVID-19 Phase 2 clinical trial within twelve (12) months of the grant date, which occurred when the Company initiated its Phase 2 clinical trial of NVX-CoV2373 in the U.S. on August 24, 2020. Following that event, fifty percent (50%) of the shares vested on August 24, 2021, the first anniversary of the initiation date, and the remaining fifty percent (50%) of the shares will vest on August 24, 2022, the second anniversary of the initiation date subject to continued employment through such vesting date. Read SEC document |
| November 01, 2021 Filed Nov 3, 2021 20:49 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 157 | $173.15 | $27,184.55 |
DisclosureSEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 16 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,760 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| November 01, 2021 Filed Nov 3, 2021 20:49 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 300 | $172.44 | $51,732.99 |
DisclosureSEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 15 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,917 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F14 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $172.02 to $172.67, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote. Read SEC document |
| November 01, 2021 Filed Nov 3, 2021 20:49 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 500 | $170.88 | $85,441.00 |
DisclosureSEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 14 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,217 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F13 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $170.52 to $171.21, 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 |
| November 01, 2021 Filed Nov 3, 2021 20:49 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 200 | $169.05 | $33,809.00 |
DisclosureSEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 13 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,717 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F12 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $168.99 to $169.10, 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 |
| November 01, 2021 Filed Nov 3, 2021 20:49 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 400 | $168.32 | $67,328.00 |
DisclosureSEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 12 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,917 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 $167.86 to $168.78, 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 |
| November 01, 2021 Filed Nov 3, 2021 20:49 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 200 | $167.15 | $33,429.00 |
DisclosureSEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 11 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,317 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 $166.81 to $167.48, 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 |
| November 01, 2021 Filed Nov 3, 2021 20:49 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 200 | $165.67 | $33,133.00 |
DisclosureSEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 10 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,517 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 $165.39 to $165.94, 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 |
| November 01, 2021 Filed Nov 3, 2021 20:49 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 300 | $164.02 | $49,205.01 |
DisclosureSEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 9 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,717 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 $163.69 to $164.58, 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 |
| November 01, 2021 Filed Nov 3, 2021 20:49 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 100 | $162.69 | $16,269.00 |
DisclosureSEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 8 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,017 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| November 01, 2021 Filed Nov 3, 2021 20:49 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 400 | $162.10 | $64,840.00 |
DisclosureSEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 7 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,117 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 $161.64 to $162.30, 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 |
| November 01, 2021 Filed Nov 3, 2021 20:49 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 343 | $159.90 | $54,847.07 |
DisclosureSEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 6 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,517 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 $159.56 to $160.40, 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 |
| November 01, 2021 Filed Nov 3, 2021 20:49 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 400 | $158.54 | $63,414.00 |
DisclosureSEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 5 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,860 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 $158.17 to $159.13, 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 |
| November 01, 2021 Filed Nov 3, 2021 20:49 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 800 | $157.42 | $125,936.00 |
DisclosureSEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 4 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,260 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 $157.04 to $157.96, 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 |
| November 01, 2021 Filed Nov 3, 2021 20:49 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 300 | $155.96 | $46,788.00 |
DisclosureSEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 3 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,060 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 $155.85 to $156.16, 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 |
| November 01, 2021 Filed Nov 3, 2021 20:49 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 400 | $155.16 | $62,065.00 |
DisclosureSEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 2 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,360 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 $154.65 to $155.48, 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 |
| November 01, 2021 Filed Nov 3, 2021 20:49 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 5,000 | $19.08 | $95,400.00 |
DisclosureSEC source: 0001209191-21-062725 · doc4.xml · nonDerivative · entry 1 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,760 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. 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 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,000 | $0.00 Strike: $19.08 | $0.00 |
DisclosureSEC source: 0001209191-21-059543 · doc4.xml · derivative · entry 18 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,000 Underlying: Common Stock · 5,000 shares Expires 2030-04-17 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: On April 17, 2020, the reporting person was granted an option to purchase 125,000 shares of common stock of the Company pursuant to the Company's Amended and Restated 2015 Stock Incentive Plan, as amended. The vesting of the shares subject to this option grant is subject to the satisfaction of a performance-based vesting requirement, followed by time-based vesting. The performance metric required that the Company initiate a COVID-19 Phase 2 clinical trial within twelve (12) months of the grant date, which occurred when the Company initiated its Phase 2 clinical trial of NVX-CoV2373 in the U.S. on August 24, 2020. Following that event, fifty percent (50%) of the shares vested on August 24, 2021, the first anniversary of the initiation date, and the remaining fifty percent (50%) of the shares will vest on August 24, 2022, the second anniversary of the initiation date subject to continued employment through such vesting date. Read SEC document |
| October 01, 2021 Filed Oct 5, 2021 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 48 | $190.63 | $9,150.24 |
DisclosureSEC source: 0001209191-21-059543 · doc4.xml · nonDerivative · entry 16 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,760 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 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 300 | $189.68 | $56,904.99 |
DisclosureSEC source: 0001209191-21-059543 · doc4.xml · nonDerivative · entry 15 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,808 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F13 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $189.62 to $189.79, 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 01, 2021 Filed Oct 5, 2021 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 100 | $181.36 | $18,136.00 |
DisclosureSEC source: 0001209191-21-059543 · doc4.xml · nonDerivative · entry 14 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,108 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 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 352 | $179.27 | $63,102.86 |
DisclosureSEC source: 0001209191-21-059543 · doc4.xml · nonDerivative · entry 13 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,208 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F12 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $178.88 to $179.44, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote. Read SEC document |
| October 01, 2021 Filed Oct 5, 2021 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 600 | $178.00 | $106,798.02 |
DisclosureSEC source: 0001209191-21-059543 · doc4.xml · nonDerivative · entry 12 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,560 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 $177.55 to $178.43, 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 01, 2021 Filed Oct 5, 2021 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 500 | $177.02 | $88,509.00 |
DisclosureSEC source: 0001209191-21-059543 · doc4.xml · nonDerivative · entry 11 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,160 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 $176.53 to $177.42, 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 01, 2021 Filed Oct 5, 2021 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 500 | $175.91 | $87,953.00 |
DisclosureSEC source: 0001209191-21-059543 · doc4.xml · nonDerivative · entry 10 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,660 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 $175.42 to $176.40, 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 01, 2021 Filed Oct 5, 2021 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 400 | $174.74 | $69,895.00 |
DisclosureSEC source: 0001209191-21-059543 · doc4.xml · nonDerivative · entry 9 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,160 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 $174.35 to $175.26, 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 01, 2021 Filed Oct 5, 2021 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 400 | $173.83 | $69,530.00 |
DisclosureSEC source: 0001209191-21-059543 · doc4.xml · nonDerivative · entry 8 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,560 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 $173.31 to $174.12, 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 01, 2021 Filed Oct 5, 2021 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 200 | $172.46 | $34,492.00 |
DisclosureSEC source: 0001209191-21-059543 · doc4.xml · nonDerivative · entry 7 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,960 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 $172.25 to $172.67, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote. Read SEC document |
| October 01, 2021 Filed Oct 5, 2021 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 600 | $171.60 | $102,960.00 |
DisclosureSEC source: 0001209191-21-059543 · doc4.xml · nonDerivative · entry 6 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,160 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 $171.24 to $171.94, 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 01, 2021 Filed Oct 5, 2021 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 200 | $169.17 | $33,834.00 |
DisclosureSEC source: 0001209191-21-059543 · doc4.xml · nonDerivative · entry 5 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,760 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 $168.78 to $169.56, 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 01, 2021 Filed Oct 5, 2021 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 300 | $168.03 | $50,409.99 |
DisclosureSEC source: 0001209191-21-059543 · doc4.xml · nonDerivative · entry 4 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,960 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 $167.69 to $168.39, 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 01, 2021 Filed Oct 5, 2021 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 100 | $166.19 | $16,619.00 |
DisclosureSEC source: 0001209191-21-059543 · doc4.xml · nonDerivative · entry 3 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,260 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 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 400 | $165.40 | $66,158.00 |
DisclosureSEC source: 0001209191-21-059543 · doc4.xml · nonDerivative · entry 2 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,360 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 $165.00 to $165.58, 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 01, 2021 Filed Oct 5, 2021 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 5,000 | $19.08 | $95,400.00 |
DisclosureSEC source: 0001209191-21-059543 · doc4.xml · nonDerivative · entry 1 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,760 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| September 26, 2021 Filed Sep 28, 2021 21:04 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionRestricted Stock Units · Derivative | 666 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-057940 · doc4.xml · derivative · entry 6 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 667 Underlying: Common Stock · 666 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. F4 · derivative.exercise_date: 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 Grant Date, in each case subject to continued service with the Company through such vesting date. F4 · 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 Grant Date, in each case subject to continued service with the Company through such vesting date. F2 · balance_after: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| September 26, 2021 Filed Sep 28, 2021 21:04 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionRestricted Stock Units · Derivative | 3,973 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-057940 · doc4.xml · derivative · entry 5 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,973 Underlying: Common Stock · 3,973 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. F3 · derivative.exercise_date: 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 September 26, 2019 grant date (the "Grant Date"), in each case subject to continued employment through such vesting date. F3 · 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 September 26, 2019 grant date (the "Grant Date"), in each case subject to continued employment through such vesting date. Read SEC document |
| September 26, 2021 Filed Sep 28, 2021 21:04 UTC | NOVAVAX INC NVAX · Entity 4632 | Tax withholdingCommon Stock | 222 | $248.16 | $55,091.52 |
DisclosureSEC source: 0001209191-21-057940 · doc4.xml · nonDerivative · entry 4 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 1,747 F2 · balance_after: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| September 26, 2021 Filed Sep 28, 2021 21:04 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 666 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-057940 · doc4.xml · nonDerivative · entry 3 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 1,969 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. F2 · balance_after: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| September 26, 2021 Filed Sep 28, 2021 21:04 UTC | NOVAVAX INC NVAX · Entity 4632 | Tax withholdingCommon Stock | 1,919 | $248.16 | $476,219.04 |
DisclosureSEC source: 0001209191-21-057940 · doc4.xml · nonDerivative · entry 2 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,760 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.