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 |
|---|---|---|---|---|---|---|
| September 26, 2021 Filed Sep 28, 2021 21:04 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 3,973 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-057940 · 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: 4,679 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. Read SEC document |
| September 15, 2021 Filed Sep 17, 2021 21:11 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,000 | $0.00 Strike: $19.08 | $0.00 |
DisclosureSEC source: 0001209191-21-056676 · doc4.xml · derivative · entry 12 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,000 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. F11 · derivative.exercise_date: On April 17, 2020, the reporting person was granted an option to purchase 125,000 shares of common stock of Novavax, Inc. (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 |
| September 15, 2021 Filed Sep 17, 2021 21:11 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 262 | $234.90 | $61,543.25 |
DisclosureSEC source: 0001209191-21-056676 · 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: 706 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 $234.73 to $234.96, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| September 15, 2021 Filed Sep 17, 2021 21:11 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 300 | $232.57 | $69,771.00 |
DisclosureSEC source: 0001209191-21-056676 · 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: 968 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 $232.50 to $232.71, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| September 15, 2021 Filed Sep 17, 2021 21:11 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 1,112 | $231.91 | $257,882.25 |
DisclosureSEC source: 0001209191-21-056676 · 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: 1,268 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 $231.47 to $232.35, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| September 15, 2021 Filed Sep 17, 2021 21:11 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 500 | $230.52 | $115,260.00 |
DisclosureSEC source: 0001209191-21-056676 · 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: 2,380 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 $230.09 to $230.97, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote. Read SEC document |
| September 15, 2021 Filed Sep 17, 2021 21:11 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 800 | $229.57 | $183,655.04 |
DisclosureSEC source: 0001209191-21-056676 · 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: 2,880 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 $229.01 to $229.99, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| September 15, 2021 Filed Sep 17, 2021 21:11 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 300 | $228.22 | $68,466.00 |
DisclosureSEC source: 0001209191-21-056676 · 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: 3,680 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 $227.98 to $228.50, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| September 15, 2021 Filed Sep 17, 2021 21:11 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 520 | $227.34 | $118,217.16 |
DisclosureSEC source: 0001209191-21-056676 · 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: 3,980 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 $226.94 to $227.81, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| September 15, 2021 Filed Sep 17, 2021 21:11 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 906 | $226.34 | $205,060.78 |
DisclosureSEC source: 0001209191-21-056676 · 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: 4,500 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 $225.79 to $226.76, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| September 15, 2021 Filed Sep 17, 2021 21:11 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 200 | $224.94 | $44,987.00 |
DisclosureSEC source: 0001209191-21-056676 · 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: 5,406 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 $224.55 to $225.32, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| September 15, 2021 Filed Sep 17, 2021 21:11 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 100 | $223.51 | $22,351.00 |
DisclosureSEC source: 0001209191-21-056676 · 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: 5,606 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| September 15, 2021 Filed Sep 17, 2021 21:11 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 5,000 | $19.08 | $95,400.00 |
DisclosureSEC source: 0001209191-21-056676 · 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: 5,706 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 01, 2021 Filed Sep 3, 2021 21:10 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,000 | $0.00 Strike: $19.08 | $0.00 |
DisclosureSEC source: 0001209191-21-054817 · doc4.xml · derivative · entry 17 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,000 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. F13 · derivative.exercise_date: On April 17, 2020, the reporting person was granted an option to purchase 125,000 shares of common stock of Novavax, Inc. (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 |
| September 01, 2021 Filed Sep 3, 2021 21:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 100 | $237.23 | $23,723.00 |
DisclosureSEC source: 0001209191-21-054817 · 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: 706 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| September 01, 2021 Filed Sep 3, 2021 21:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 600 | $256.01 | $153,606.00 |
DisclosureSEC source: 0001209191-21-054817 · 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: 806 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 $255.60 to $256.38, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| September 01, 2021 Filed Sep 3, 2021 21:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 400 | $254.83 | $101,932.00 |
DisclosureSEC source: 0001209191-21-054817 · 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: 1,406 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 $254.47 to $255.40, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| September 01, 2021 Filed Sep 3, 2021 21:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 600 | $253.20 | $151,918.98 |
DisclosureSEC source: 0001209191-21-054817 · 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: 1,806 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 $252.83 to $253.74, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| September 01, 2021 Filed Sep 3, 2021 21:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 400 | $251.68 | $100,673.00 |
DisclosureSEC source: 0001209191-21-054817 · 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: 2,406 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 $251.23 to $252.13, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| September 01, 2021 Filed Sep 3, 2021 21:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 344 | $250.00 | $86,000.24 |
DisclosureSEC source: 0001209191-21-054817 · 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: 2,806 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 $249.81 to $250.25, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| September 01, 2021 Filed Sep 3, 2021 21:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 100 | $248.33 | $24,833.00 |
DisclosureSEC source: 0001209191-21-054817 · 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: 3,150 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| September 01, 2021 Filed Sep 3, 2021 21:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 300 | $246.80 | $74,040.99 |
DisclosureSEC source: 0001209191-21-054817 · 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: 3,250 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 $246.46 to $247.35, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| September 01, 2021 Filed Sep 3, 2021 21:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 500 | $245.82 | $122,911.00 |
DisclosureSEC source: 0001209191-21-054817 · 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: 3,550 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 $245.33 to $246.24, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| September 01, 2021 Filed Sep 3, 2021 21:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 400 | $244.33 | $97,731.00 |
DisclosureSEC source: 0001209191-21-054817 · 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: 4,050 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 $243.84 to $244.75, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| September 01, 2021 Filed Sep 3, 2021 21:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 500 | $242.97 | $121,487.00 |
DisclosureSEC source: 0001209191-21-054817 · 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: 4,450 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 $242.41 to $243.35, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| September 01, 2021 Filed Sep 3, 2021 21:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 100 | $241.39 | $24,139.00 |
DisclosureSEC source: 0001209191-21-054817 · 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: 4,950 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| September 01, 2021 Filed Sep 3, 2021 21:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 300 | $240.51 | $72,153.00 |
DisclosureSEC source: 0001209191-21-054817 · 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: 5,050 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 $240.03 to $241.02, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| September 01, 2021 Filed Sep 3, 2021 21:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 256 | $238.81 | $61,134.23 |
DisclosureSEC source: 0001209191-21-054817 · 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: 5,350 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 $238.54 to $238.89, 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 sold at each price within the range set forth in this footnote. Read SEC document |
| September 01, 2021 Filed Sep 3, 2021 21:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 100 | $235.85 | $23,585.00 |
DisclosureSEC source: 0001209191-21-054817 · 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: 5,606 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| September 01, 2021 Filed Sep 3, 2021 21:10 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 5,000 | $19.08 | $95,400.00 |
DisclosureSEC source: 0001209191-21-054817 · 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: 5,706 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 |
| August 24, 2021 Filed Sep 24, 2021 21:08 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionRestricted Stock Units · Derivative | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-057656 · doc4.xml · derivative · entry 4 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 2,000 Underlying: Common Stock · 2,000 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 · 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: On April 17, 2020, the reporting person's spouse, who is a consultant for the Company, was granted 4,000 RSUs pursuant to the Company's Amended and Restated 2015 Stock Incentive Plan, as amended. The vesting of the RSUs subject to this 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 RSUs vested on August 24, 2021, the first anniversary of the initiation date, and the remaining fifty percent (50%) of the RSUs will vest on August 24, 2022, the second anniversary of the initiation date subject to continued service with the Company through such vesting date. F4 · balance_after: The reporting person acquired beneficial ownership of these RSUs upon his marriage to the owner of the RSUs on May 31, 2021. 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 |
| August 24, 2021 Filed Sep 24, 2021 21:08 UTC | NOVAVAX INC NVAX · Entity 4632 | Tax withholdingCommon Stock | 697 | $233.01 | $162,407.97 |
DisclosureSEC source: 0001209191-21-057656 · doc4.xml · nonDerivative · entry 2 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 1,303 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 |
| August 24, 2021 Filed Sep 24, 2021 21:08 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 2,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-057656 · doc4.xml · nonDerivative · entry 1 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 2,000 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 |
| July 26, 2021 Filed Jul 28, 2021 21:00 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 2,062 | $0.00 Strike: $5.95 | $0.00 |
DisclosureSEC source: 0001209191-21-048440 · 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: 53,626 Underlying: Common Stock · 2,062 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. F16 · 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 |
| July 26, 2021 Filed Jul 28, 2021 21:00 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 417 | $0.00 Strike: $46.00 | $0.00 |
DisclosureSEC source: 0001209191-21-048440 · doc4.xml · derivative · entry 17 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,092 Underlying: Common Stock · 417 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. 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 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 |
| July 26, 2021 Filed Jul 28, 2021 21:00 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 417 | $0.00 Strike: $27.60 | $0.00 |
DisclosureSEC source: 0001209191-21-048440 · doc4.xml · derivative · entry 16 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,095 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. F14 · 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 |
| July 26, 2021 Filed Jul 28, 2021 21:00 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 68 | $204.57 | $13,910.56 |
DisclosureSEC source: 0001209191-21-048440 · 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: 706 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 $204.52 to $204.68, 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 |
| July 26, 2021 Filed Jul 28, 2021 21:00 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 58 | $203.45 | $11,800.36 |
DisclosureSEC source: 0001209191-21-048440 · 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: 774 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 $203.37 to $203.86, 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 |
| July 26, 2021 Filed Jul 28, 2021 21:00 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 129 | $202.58 | $26,132.36 |
DisclosureSEC source: 0001209191-21-048440 · 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: 832 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 $202.18 to $202.73, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| July 26, 2021 Filed Jul 28, 2021 21:00 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 209 | $201.56 | $42,126.33 |
DisclosureSEC source: 0001209191-21-048440 · 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: 961 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 $201.145 to $202.04, 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 |
| July 26, 2021 Filed Jul 28, 2021 21:00 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 256 | $200.47 | $51,321.40 |
DisclosureSEC source: 0001209191-21-048440 · 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: 1,170 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 $199.89 to $200.88, 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 |
| July 26, 2021 Filed Jul 28, 2021 21:00 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 224 | $199.47 | $44,680.38 |
DisclosureSEC source: 0001209191-21-048440 · 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: 1,426 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 $198.86 to $199.75, 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 |
| July 26, 2021 Filed Jul 28, 2021 21:00 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 317 | $198.20 | $62,830.41 |
DisclosureSEC source: 0001209191-21-048440 · 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: 1,650 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 $197.81 to $198.78, 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 |
| July 26, 2021 Filed Jul 28, 2021 21:00 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 485 | $197.47 | $95,772.80 |
DisclosureSEC source: 0001209191-21-048440 · 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: 1,967 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 $196.80 to $197.79, 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 |
| July 26, 2021 Filed Jul 28, 2021 21:00 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 313 | $196.12 | $61,385.62 |
DisclosureSEC source: 0001209191-21-048440 · 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: 2,452 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 $195.80 to $196.79, 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 |
| July 26, 2021 Filed Jul 28, 2021 21:00 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 263 | $195.29 | $51,361.03 |
DisclosureSEC source: 0001209191-21-048440 · 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: 2,765 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 $194.755 to $195.75, 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 |
| July 26, 2021 Filed Jul 28, 2021 21:00 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 423 | $194.26 | $82,171.22 |
DisclosureSEC source: 0001209191-21-048440 · 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: 3,028 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 $193.68 to $194.55, 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 |
| July 26, 2021 Filed Jul 28, 2021 21:00 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 151 | $193.09 | $29,155.93 |
DisclosureSEC source: 0001209191-21-048440 · 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: 3,451 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 $192.66 to $193.63, 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 |
| July 26, 2021 Filed Jul 28, 2021 21:00 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 2,062 | $5.95 | $12,268.90 |
DisclosureSEC source: 0001209191-21-048440 · 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: 3,602 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 |
| July 26, 2021 Filed Jul 28, 2021 21:00 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 417 | $46.00 | $19,182.00 |
DisclosureSEC source: 0001209191-21-048440 · 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: 1,540 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.