SEC Form 4 · accession 0001209191-15-024198
NOVAVAX INC · NVAX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael A McManus Jr.
Director
Period of report
Jun 17, 2014
Accepted (ET)
Mar 9, 2015 · 6:17 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001000694
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 17, 2014 | M | 15,000 | $0.56 | A | 137,590 | D | |
| Common Stock | Jun 17, 2014 | M | 30,000 | $1.28 | A | 167,590 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to buy) | $0.56 | Jun 17, 2014 | M | 15,000 | D | Sep 5, 2009 | Mar 5, 2019 | Common Stock | 15,000 | 0 | D |
| Stock Option (Right to buy) | $1.28 | Jun 17, 2014 | M | 30,000 | D | Sep 1, 2012 | Mar 1, 2022 | Common Stock | 30,000 | 0 | D |
| Stock Option (Right to buy)F1 | $8.94 | Mar 5, 2015 | A | 40,000 | A | Sep 5, 2015 | Mar 5, 2025 | Common Stock | 40,000 | 40,000 | D |
Explanation of responses
- F1This option grant was approved by a committee of Novavax's board of directors on March 5, 2015, subject to shareholder approval of the Novavax, Inc. 2015 Stock Incentive Plan.