SEC Form 4 · accession 0001209191-16-099945
NOVAVAX INC · NVAX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary C Evans
Director
Period of report
Feb 17, 2016
Accepted (ET)
Feb 18, 2016 · 4:46 pm EST
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 | Feb 17, 2016 | M | 50,000 | $4.60 | A | 390,977 | D | |
| Common StockF1 | holding | — | — | — | 8,000 | I | See Footnote |
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)F2 | $4.60 | Feb 17, 2016 | M | 50,000 | D | — | Feb 17, 2016 | Common Stock | 50,000 | 0 | D |
Explanation of responses
- F1Includes 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.
- F2The 50,000 shares exercised on 02/17/2016 pursuant to this stock option vested on 08/17/2006.