SEC Form 4 · accession 0001209191-15-066320

NOVAVAX INC · NVAX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Aug 13, 2015

Accepted (ET)

Aug 17, 2015 · 5:06 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	Aug 13, 2015	M	15,000	$0.56	A	336,979	D
Common Stock	Aug 13, 2015	M	30,000	$1.28	A	366,979	D
Common Stock^F1	Aug 13, 2015	S	6,002	$13.5618	D	360,977	D
Common Stock^F2	holding	—	—		—	8,000	I	See footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to buy)^F3	$0.056	Aug 13, 2015	M	15,000	D	—	Mar 5, 2019	Common Stock	15,000	0	D
Stock Option (Right to buy)^F4	$1.28	Aug 13, 2015	M	30,000	D	—	Mar 1, 2022	Common Stock	30,000	0	D

F1The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.5301 to $13.585, 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.
F2Includes 4,000 shares owned of record by Gary Evans Custodian for Dustin Evans UTMA/TX and 4,000 shares owned of record by Gary Evans Custodian for Casey Evans UTMA/TX.
F3The 15,000 shares exercised on 08/13/2015 pursuant to this stock option vested on 09/05/2009.
F4The 30,000 shares exercised on 08/13/2015 pursuant to this stock option vested on 09/01/2012.