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 |
|---|---|---|---|---|---|---|
| May 18, 2020 Filed May 20, 2020 20:35 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 5,462 | $27.00 | $147,474.00 |
DisclosureSEC source: 0001209191-20-030893 · doc4.xml · nonDerivative · entry 3 Herrmann John A III · CIK 0001610928 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,737 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. Read SEC document |
| May 18, 2020 Filed May 20, 2020 20:35 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 7,499 | $49.44 | $370,750.56 |
DisclosureSEC source: 0001209191-20-030893 · doc4.xml · nonDerivative · entry 2 Herrmann John A III · CIK 0001610928 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 275 Read SEC document |
| May 18, 2020 Filed May 20, 2020 20:35 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 7,499 | $25.60 | $191,974.40 |
DisclosureSEC source: 0001209191-20-030893 · doc4.xml · nonDerivative · entry 1 Herrmann John A III · CIK 0001610928 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,774 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. Read SEC document |
| March 08, 2020 Filed Mar 10, 2020 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionRestricted Stock Units · Derivative | 449 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-017738 · doc4.xml · derivative · entry 3 Herrmann John A III · CIK 0001610928 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 449 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. F2 · derivative.exercise_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on satisfaction of both (1) a time-based vesting requirement, pursuant to which one hundred percent (100%) of the RSUs vested on the first anniversary of the March 8, 2019 grant date subject to continued employment through such vesting date; and (2) a performance-based vesting requirement, pursuant to which one hundred percent (100%) of the RSUs vested based on the Company's achievement of a regulatory milestone associated with NanoFlu on or before September 30, 2019. F2 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on satisfaction of both (1) a time-based vesting requirement, pursuant to which one hundred percent (100%) of the RSUs vested on the first anniversary of the March 8, 2019 grant date subject to continued employment through such vesting date; and (2) a performance-based vesting requirement, pursuant to which one hundred percent (100%) of the RSUs vested based on the Company's achievement of a regulatory milestone associated with NanoFlu on or before September 30, 2019. Read SEC document |
| March 08, 2020 Filed Mar 10, 2020 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | Tax withholdingCommon Stock | 174 | $12.48 | $2,171.52 |
DisclosureSEC source: 0001209191-20-017738 · doc4.xml · nonDerivative · entry 2 Herrmann John A III · CIK 0001610928 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 275 Read SEC document |
| March 08, 2020 Filed Mar 10, 2020 21:02 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 449 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-017738 · doc4.xml · nonDerivative · entry 1 Herrmann John A III · CIK 0001610928 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 449 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 26, 2019 Filed Sep 30, 2019 20:52 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Option Right to Buy · Derivative | 99,000 | $0.00 Strike: $5.95 | $0.00 |
DisclosureSEC source: 0000904454-19-000654 · edgar.xml · derivative · entry 3 Herrmann John A III · CIK 0001610928 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,000 Underlying: Common Stock · 99,000 shares Expires 2029-09-26 F4 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant under the Plan will vest on the first anniversary of the Grant Date, and the remaining seventy-five percent (75%) of the shares will vest in equal monthly installments over the following three (3) years, in each case subject to continued employment through such vesting date and subject to shareholder approval of an increase in the number of shares available for issuance under the Plan. Read SEC document |
| September 26, 2019 Filed Sep 30, 2019 20:52 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantRestricted Stock Units · Derivative | 11,919 | $0.00 | $0.00 |
DisclosureSEC source: 0000904454-19-000654 · edgar.xml · derivative · entry 2 Herrmann John A III · CIK 0001610928 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,919 Underlying: Common Stock · 11,919 shares Expires not disclosed 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: One-third (1/3) of the RSUs subject to this grant under the Plan will vest on each of the first three (3) anniversaries of the Grant Date, subject to continued employment through such vesting date. F3 · derivative.expiration_date: One-third (1/3) of the RSUs subject to this grant under the Plan will vest on each of the first three (3) anniversaries of the Grant Date, subject to continued employment through such vesting date. Read SEC document |
| September 26, 2019 Filed Sep 30, 2019 20:52 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantRestricted Stock Units · Derivative | 30,900 | $0.00 | $0.00 |
DisclosureSEC source: 0000904454-19-000654 · edgar.xml · derivative · entry 1 Herrmann John A III · CIK 0001610928 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,900 Underlying: Common Stock · 30,900 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. F2 · derivative.exercise_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"), will vest one (1) year from the September 26, 2019 grant date (the "Grant Date"), subject to continued employment with the Company through the vesting date. F2 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"), will vest one (1) year from the September 26, 2019 grant date (the "Grant Date"), subject to continued employment with the Company through the vesting date. Read SEC document |
| September 17, 2019 Filed Sep 18, 2019 20:14 UTC | NOVAVAX INC NVAX · Entity 4632 | SaleCommon Stock | 3,643 | $7.07 | $25,756.74 |
DisclosureSEC source: 0001209191-19-050052 · doc4.xml · nonDerivative · entry 1 Herrmann John A III · CIK 0001610928 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.02 to $7.57, 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 |
| September 08, 2019 Filed Sep 10, 2019 20:34 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionRestricted Stock Units · Derivative | 4,933 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-049020 · doc4.xml · derivative · entry 3 Herrmann John A III · CIK 0001610928 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,933 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. F2 · derivative.exercise_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested six (6) months from the March 8, 2019 grant date subject to continued employment with the Company through the vesting date. F2 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested six (6) months from the March 8, 2019 grant date subject to continued employment with the Company through the vesting date. Read SEC document |
| September 08, 2019 Filed Sep 10, 2019 20:34 UTC | NOVAVAX INC NVAX · Entity 4632 | Tax withholdingCommon Stock | 1,643 | $5.50 | $9,036.50 |
DisclosureSEC source: 0001209191-19-049020 · doc4.xml · nonDerivative · entry 2 Herrmann John A III · CIK 0001610928 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,643 Read SEC document |
| September 08, 2019 Filed Sep 10, 2019 20:34 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 4,933 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-049020 · doc4.xml · nonDerivative · entry 1 Herrmann John A III · CIK 0001610928 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,286 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 |
| March 08, 2019 Filed Mar 12, 2019 23:05 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantRestricted Stock Units · Derivative | 44,979 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-018991 · doc4.xml · derivative · entry 2 Herrmann John A III · CIK 0001610928 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,979 Underlying: Common Stock · 44,979 shares Expires not disclosed 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: Vesting of the RSUs subject to this grant under the Plan is subject to the satisfaction of both (1) a time-based vesting requirement, pursuant to which one hundred percent (100%) of the RSUs vesting on the first anniversary of the Grant Date subject to continued employment through such vesting date; and (2) performance-based vesting requirements, pursuant to which (i) 80% of the RSUs will vest based on achieving a regulatory milestone associated with ResVax on or before September 30, 2019; or (ii) 20% of the RSUs will vest based on achieving a regulatory milestone associated with NanoFlu on or before September 30, 2019. F3 · derivative.expiration_date: Vesting of the RSUs subject to this grant under the Plan is subject to the satisfaction of both (1) a time-based vesting requirement, pursuant to which one hundred percent (100%) of the RSUs vesting on the first anniversary of the Grant Date subject to continued employment through such vesting date; and (2) performance-based vesting requirements, pursuant to which (i) 80% of the RSUs will vest based on achieving a regulatory milestone associated with ResVax on or before September 30, 2019; or (ii) 20% of the RSUs will vest based on achieving a regulatory milestone associated with NanoFlu on or before September 30, 2019. Read SEC document |
| March 08, 2019 Filed Mar 12, 2019 23:05 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantRestricted Stock Units · Derivative | 98,676 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-018991 · doc4.xml · derivative · entry 1 Herrmann John A III · CIK 0001610928 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,676 Underlying: Common Stock · 98,676 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. F2 · derivative.exercise_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"), will vest six (6) months from the March 8, 2019 grant date (the "Grant Date") subject to continued employment with the Company through the vesting date. F2 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"), will vest six (6) months from the March 8, 2019 grant date (the "Grant Date") subject to continued employment with the Company through the vesting date. Read SEC document |
| December 13, 2018 Filed Dec 14, 2018 21:55 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Option (Right to Buy) · Derivative | 400,000 | $0.00 Strike: $2.30 | $0.00 |
DisclosureSEC source: 0001209191-18-062771 · doc4.xml · derivative · entry 1 Herrmann John A III · CIK 0001610928 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Stock · 400,000 shares Expires 2028-12-13 F1 · 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, will vest on the first anniversary of the December 13, 2018 grant date, and the remaining seventy-five percent (75%) of the shares will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date. Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 21:15 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Option (Right to Buy) · Derivative | 400,000 | $0.00 Strike: $1.38 | $0.00 |
DisclosureSEC source: 0001209191-17-066326 · doc4.xml · derivative · entry 1 Herrmann John A III · CIK 0001610928 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Stock · 400,000 shares Expires 2027-12-15 F1 · 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, will vest on the first anniversary of the December 15, 2017 grant date, and the remaining seventy-five percent (75%) of the shares will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date. Read SEC document |
| January 31, 2017 Filed Feb 2, 2017 21:12 UTC | NOVAVAX INC NVAX · Entity 4632 | PurchaseCommon Stock | 4,960 | $1.12 | $5,555.20 |
DisclosureSEC source: 0001209191-17-007072 · doc4.xml · nonDerivative · entry 1 Herrmann John A III · CIK 0001610928 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,072 F1 · balance_after: Includes 4,960 shares acquired under the Issuer's Amended and Restated 2013 Employee Stock Purchase Plan on January 31, 2017. Read SEC document |
| November 14, 2016 Filed Nov 17, 2016 01:52 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Option (Right to Buy) · Derivative | 125,000 | $0.00 Strike: $1.35 | $0.00 |
DisclosureSEC source: 0001209191-16-150733 · doc4.xml · derivative · entry 2 Herrmann John A III · CIK 0001610928 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires 2026-11-14 F2 · derivative.exercise_date: Vesting of the shares subject to this option grant under the Plan is subject to the satisfaction of both (1) a time-based vesting requirement, pursuant to which twenty-five percent (25%) of the shares vesting on the first anniversary of the Grant Date, and the remaining seventy-five percent (75%) of the shares vesting in equal monthly installments 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 will vest if, at any time during the four-year period from the Grant Date, the volume-weighted average stock price of Novavax' common stock meets or exceeds $4.00, $6.00, or $8.00, respectively, for twenty (20) consecutive trading days. Read SEC document |
| November 14, 2016 Filed Nov 17, 2016 01:52 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Option (Right to Buy) · Derivative | 125,000 | $0.00 Strike: $1.35 | $0.00 |
DisclosureSEC source: 0001209191-16-150733 · doc4.xml · derivative · entry 1 Herrmann John A III · CIK 0001610928 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires 2026-11-14 F1 · 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") vest on the first anniversary of the November 14, 2016 grant date (the "Grant Date"), and the remaining seventy-five percent (75%) of the shares will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date. 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.