SEC Form 4 · accession 0001209191-15-067383
NOVAVAX INC · NVAX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barclay A Phillips
Officer — SVP, Chief Financial Officer
Period of report
Aug 19, 2015
Accepted (ET)
Aug 21, 2015 · 5:08 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 StockF1 | Aug 19, 2015 | S | 18,656 | $13.1969 | D | 19,152 | D | |
| Common StockF2 | Aug 20, 2015 | S | 10,000 | $12.8122 | D | 9,152 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.19 to $13.22, 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.
- F2The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.81 to $12.82, 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 sold at each price within the range set forth in this footnote.