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 |
|---|---|---|---|---|---|---|
| March 26, 2021 Filed Mar 30, 2021 22:10 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 416 | $0.00 Strike: $46.00 | $0.00 |
DisclosureSEC source: 0001209191-21-023613 · 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: 8,759 Underlying: Common Stock · 416 shares Expires 2028-12-13 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F13 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant under the Plan vested on the first anniversary of the December 13, 2018 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 22:10 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 416 | $0.00 Strike: $27.60 | $0.00 |
DisclosureSEC source: 0001209191-21-023613 · 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: 3,760 Underlying: Common Stock · 416 shares Expires 2027-12-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F12 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant under the 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 |
| March 26, 2021 Filed Mar 30, 2021 22:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 47 | $196.12 | $9,217.64 |
DisclosureSEC source: 0001209191-21-023613 · 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: 275 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 22:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 56 | $194.74 | $10,905.44 |
DisclosureSEC source: 0001209191-21-023613 · 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: 322 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 22:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 151 | $192.82 | $29,116.27 |
DisclosureSEC source: 0001209191-21-023613 · 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: 378 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 $192.20 to $193.14, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 22:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 245 | $191.38 | $46,887.78 |
DisclosureSEC source: 0001209191-21-023613 · 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: 529 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 $190.84 to $191.75, 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 |
| March 26, 2021 Filed Mar 30, 2021 22:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 252 | $190.10 | $47,904.82 |
DisclosureSEC source: 0001209191-21-023613 · 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: 774 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 $189.62 to $190.45, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 22:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 164 | $189.06 | $31,006.64 |
DisclosureSEC source: 0001209191-21-023613 · 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: 1,026 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 $188.51 to $189.46, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 22:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 164 | $187.08 | $30,681.43 |
DisclosureSEC source: 0001209191-21-023613 · 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: 1,190 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 $186.71 to $187.40, 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 purchased at each price within the range set forth in this footnote. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 22:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 1,075 | $185.73 | $199,664.80 |
DisclosureSEC source: 0001209191-21-023613 · 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: 1,354 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 $185.46 to $186.10, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 22:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 145 | $184.59 | $26,766.17 |
DisclosureSEC source: 0001209191-21-023613 · 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: 2,429 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 $184.46 to $184.82, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 22:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 256 | $183.35 | $46,936.78 |
DisclosureSEC source: 0001209191-21-023613 · 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: 2,574 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 $183.01 to $183.57, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 22:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 171 | $181.86 | $31,098.59 |
DisclosureSEC source: 0001209191-21-023613 · 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: 2,830 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 $181.66 to $182.25, 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 purchased at each price within the range set forth in this footnote. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 22:10 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 168 | $181.09 | $30,422.77 |
DisclosureSEC source: 0001209191-21-023613 · 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: 3,001 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 $180.50 to $181.39, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 22:10 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 2,062 | $5.95 | $12,268.90 |
DisclosureSEC source: 0001209191-21-023613 · 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: 3,169 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 22:10 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 416 | $46.00 | $19,136.00 |
DisclosureSEC source: 0001209191-21-023613 · 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: 1,107 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 22:10 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 416 | $27.60 | $11,481.60 |
DisclosureSEC source: 0001209191-21-023613 · 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: 691 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 2,063 | $0.00 Strike: $5.95 | $0.00 |
DisclosureSEC source: 0001209191-21-016342 · doc4.xml · derivative · entry 19 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,938 Underlying: Common Stock · 2,063 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 |
| February 26, 2021 Filed Mar 2, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 416 | $0.00 Strike: $46.00 | $0.00 |
DisclosureSEC source: 0001209191-21-016342 · 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: 9,175 Underlying: Common Stock · 416 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 |
| February 26, 2021 Filed Mar 2, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 416 | $0.00 Strike: $27.60 | $0.00 |
DisclosureSEC source: 0001209191-21-016342 · 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: 4,176 Underlying: Common Stock · 416 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. 2015 Stock Incentive Plan, as amended (the "Plan") vested on the first anniversary of the December 15, 2017 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 12 | $232.35 | $2,788.20 |
DisclosureSEC source: 0001209191-21-016342 · 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: 275 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 59 | $231.40 | $13,652.89 |
DisclosureSEC source: 0001209191-21-016342 · 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: 287 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 $231.18 to $231.54, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 38 | $230.04 | $8,741.68 |
DisclosureSEC source: 0001209191-21-016342 · 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: 346 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 $229.91 to $230.65, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 369 | $228.64 | $84,367.61 |
DisclosureSEC source: 0001209191-21-016342 · 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: 384 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 $228.29 to $229.245, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 569 | $227.82 | $129,628.16 |
DisclosureSEC source: 0001209191-21-016342 · 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: 753 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 $227.25 to $228.23, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 538 | $226.59 | $121,904.56 |
DisclosureSEC source: 0001209191-21-016342 · 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: 1,322 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 $226.11 to $227.10, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 248 | $225.45 | $55,912.64 |
DisclosureSEC source: 0001209191-21-016342 · 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: 1,860 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 $225.10 to $226.09, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 120 | $224.93 | $26,991.17 |
DisclosureSEC source: 0001209191-21-016342 · 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: 2,108 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 $224.10 to $225.09, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 188 | $223.48 | $42,013.85 |
DisclosureSEC source: 0001209191-21-016342 · 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: 2,228 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 $223.00 to $223.90, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 227 | $222.39 | $50,482.60 |
DisclosureSEC source: 0001209191-21-016342 · 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: 2,416 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 $222.00 to $222.99, 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 purchased at each price within the range set forth in this footnote. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 250 | $221.32 | $55,329.60 |
DisclosureSEC source: 0001209191-21-016342 · 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: 2,643 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 $221.00 to $221.87, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 168 | $220.33 | $37,015.86 |
DisclosureSEC source: 0001209191-21-016342 · 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: 2,893 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 $220.00 to $220.95, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 109 | $219.55 | $23,930.47 |
DisclosureSEC source: 0001209191-21-016342 · 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: 3,061 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 $219.00 to $219.99, 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 purchased at each price within the range set forth in this footnote. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 2,063 | $5.95 | $12,274.85 |
DisclosureSEC source: 0001209191-21-016342 · 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: 3,170 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 416 | $46.00 | $19,136.00 |
DisclosureSEC source: 0001209191-21-016342 · 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: 1,107 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 416 | $27.60 | $11,481.60 |
DisclosureSEC source: 0001209191-21-016342 · 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: 691 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| February 01, 2021 Filed Feb 3, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 8,249 | $0.00 Strike: $5.95 | $0.00 |
DisclosureSEC source: 0001209191-21-007378 · doc4.xml · derivative · entry 15 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,001 Underlying: Common Stock · 8,249 shares Expires 2029-09-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F10 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant under the Plan vested on the first anniversary of the September 26, 2019 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date. Read SEC document |
| February 01, 2021 Filed Feb 3, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 2,080 | $0.00 Strike: $46.00 | $0.00 |
DisclosureSEC source: 0001209191-21-007378 · doc4.xml · derivative · entry 14 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,591 Underlying: Common Stock · 2,080 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. F9 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant under the Plan vested on the first anniversary of the December 13, 2018 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date. Read SEC document |
| February 01, 2021 Filed Feb 3, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 2,085 | $0.00 Strike: $27.60 | $0.00 |
DisclosureSEC source: 0001209191-21-007378 · doc4.xml · derivative · entry 13 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,592 Underlying: Common Stock · 2,085 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. F8 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant under the Plan vested on the first anniversary of the December 15, 2017 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date. Read SEC document |
| February 01, 2021 Filed Feb 3, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 2,214 | $0.00 Strike: $27.00 | $0.00 |
DisclosureSEC source: 0001209191-21-007378 · 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: 0 Underlying: Common Stock · 2,214 shares Expires 2026-11-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F7 · derivative.exercise_date: Vesting of the shares subject to this option grant under the Plan were subject to the satisfaction of both (1) a time-based vesting requirement, pursuant to which twenty-five percent (25%) of the shares vested on the first anniversary of the November 14, 2016 grant date, and the remaining seventy-five percent (75%) of the shares vested in equal monthly installments on the first of each month over the following three (3) years, subject to continued employment through such vesting date, and (2) a performance-based vesting requirement, pursuant to which 33.33%, 33.33%, and 33.34% of the shares vested, if at any time during the four-year period from the November 14, 2016 grant date, the volume-weighted average stock price of Novavax, Inc.'s common stock met or exceeded $80.00, $120.00, or $160.00, respectively, for twenty (20) consecutive trading days. Novavax Inc.'s common stock did not meet $160.00 for twenty (20) consecutive trading days and therefore 2,084 shares were cancelled. Read SEC document |
| February 01, 2021 Filed Feb 3, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 394 | $0.00 Strike: $27.00 | $0.00 |
DisclosureSEC source: 0001209191-21-007378 · doc4.xml · derivative · entry 11 Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 394 shares Expires 2026-11-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F6 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant under the Novavax, Inc. 2015 Stock Incentive Plan, as amended (the "Plan") vested on the first anniversary of the November 14, 2016 grant date, and the remaining seventy-five percent (75%) of the shares vested in equal monthly installments over the following three (3) years subject to continued employment through such vesting date. Read SEC document |
| February 01, 2021 Filed Feb 3, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 3,754 | $243.25 | $913,160.50 |
DisclosureSEC source: 0001209191-21-007378 · 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: 275 F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| February 01, 2021 Filed Feb 3, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 2,200 | $242.20 | $532,832.96 |
DisclosureSEC source: 0001209191-21-007378 · 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: 4,029 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 $242.00 to $242.69, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| February 01, 2021 Filed Feb 3, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 3,331 | $241.51 | $804,458.82 |
DisclosureSEC source: 0001209191-21-007378 · 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: 6,229 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 $241.00 to $241.96, 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 purchased at each price within the range set forth in this footnote. Read SEC document |
| February 01, 2021 Filed Feb 3, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 4,294 | $240.43 | $1,032,398.69 |
DisclosureSEC source: 0001209191-21-007378 · 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: 9,560 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 $240.00 to $240.91, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| February 01, 2021 Filed Feb 3, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 1,443 | $239.04 | $344,937.75 |
DisclosureSEC source: 0001209191-21-007378 · 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: 13,854 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 $238.50 to $239.33, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| February 01, 2021 Filed Feb 3, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 8,249 | $5.95 | $49,081.55 |
DisclosureSEC source: 0001209191-21-007378 · 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: 15,297 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| February 01, 2021 Filed Feb 3, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 2,080 | $46.00 | $95,680.00 |
DisclosureSEC source: 0001209191-21-007378 · 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: 7,048 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| February 01, 2021 Filed Feb 3, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 2,085 | $27.60 | $57,546.00 |
DisclosureSEC source: 0001209191-21-007378 · 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: 4,968 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| February 01, 2021 Filed Feb 3, 2021 22:37 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 2,214 | $27.00 | $59,778.00 |
DisclosureSEC source: 0001209191-21-007378 · 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: 2,883 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.