Monday, March 20, 2017 5:39:11 PM
Source: Edgar (US Regulatory)
FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
1. Name and Address of Reporting Person *
YOUNG JAMES F 2. Issuer Name and Ticker or Trading Symbol
NOVAVAX INC [ NVAX ] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__ X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O NOVAVAX, INC., 20 FIRSTFIELD ROAD 3. Date of Earliest Transaction (MM/DD/YYYY)
3/16/2017
(Street)
GAITHERSBURG, MD 20878
(City) (State) (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3) 2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8) 4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) 8. Price of Derivative Security
(Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to buy) $1.38 3/16/2017 A 200000 3/16/2018 (1) 3/16/2027 Common Stock 200000 $0.00 200000 D
Explanation of Responses:
( 1) One hundred percent (100%) of the shares subject to this option grant under the Novavax, Inc. (the "Company") Amended and Restated 2015 Stock Incentive Plan will vest one (1) year from the March 16, 2017 grant date subject to continued service on the Company's Board of Directors through the vesting date.
Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
YOUNG JAMES F
C/O NOVAVAX, INC.
20 FIRSTFIELD ROAD
GAITHERSBURG, MD 20878 X
Signatures
/s/ John A. Herrmann III, Attorney-in-Fact 3/20/2017
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
Recent NVAX News
- Form DFAN14A - Additional definitive proxy soliciting materials filed by non-management and Rule 14(a)(12) material • Edgar (US Regulatory) • 05/07/2024 09:21:35 PM
- Form SC 13D/A - General statement of acquisition of beneficial ownership: [Amend] • Edgar (US Regulatory) • 05/07/2024 06:43:55 PM
- Novavax to Host Conference Call to Discuss First Quarter 2024 Financial Results and Operational Highlights on May 10, 2024 • PR Newswire (US) • 05/07/2024 01:25:00 PM
- Tesla’s April Sales Down 18% in China, Amazon’s Multi-Billion Dollar Cloud Expansion in Singapore, and More News • IH Market News • 05/07/2024 11:44:00 AM
- Form DFAN14A - Additional definitive proxy soliciting materials filed by non-management and Rule 14(a)(12) material • Edgar (US Regulatory) • 05/06/2024 08:43:09 PM
- Shah Capital Launches Campaign Urging Stockholders to Vote AGAINST the Re-Election of All of Novavax’s Directors Up for Election at its 2024 Annual Meeting • GlobeNewswire Inc. • 05/06/2024 10:22:33 AM
- Shah Capital nominates two highly qualified independent director candidates for Novavax • GlobeNewswire Inc. • 04/15/2024 10:00:00 AM
- Novavax Presents Data on Updated COVID-19 Vaccine and Progress to Date on its COVID-19-Influenza Combination Vaccine Candidate at World Vaccine Congress 2024 • PR Newswire (US) • 04/01/2024 12:00:00 PM
- Form 4 - Statement of changes in beneficial ownership of securities • Edgar (US Regulatory) • 03/06/2024 12:30:14 AM
- Novavax to Participate in TD Cowen's 44th Annual Health Care Conference • PR Newswire (US) • 02/29/2024 09:02:00 PM
- Form 8-K - Current report • Edgar (US Regulatory) • 02/28/2024 01:07:50 PM
- Novavax Reports Fourth Quarter and Full Year 2023 Financial Results and Operational Highlights • PR Newswire (US) • 02/28/2024 01:00:00 PM
- Form 10-K - Annual report [Section 13 and 15(d), not S-K Item 405] • Edgar (US Regulatory) • 02/28/2024 12:30:55 PM
- Goldman Sachs Reconsiders Fed Cuts, LUNR Surges Over 40% in Pre-Market, and More • IH Market News • 02/23/2024 01:03:59 PM
- Form 8-K - Current report • Edgar (US Regulatory) • 02/22/2024 11:02:36 AM
- Novavax and Gavi Reach Settlement on 2021 COVID-19 Vaccine Advance Purchase Agreement • PR Newswire (US) • 02/22/2024 11:00:00 AM
- Novavax to Host Conference Call to Discuss Fourth Quarter and Full Year 2023 Financial Results and Operational Highlights on February 28, 2024 • PR Newswire (US) • 02/20/2024 02:25:00 PM
- Form 8-K - Current report • Edgar (US Regulatory) • 01/31/2024 01:00:41 PM
- Form 4 - Statement of changes in beneficial ownership of securities • Edgar (US Regulatory) • 01/25/2024 10:00:09 PM
- Form 8-K - Current report • Edgar (US Regulatory) • 01/08/2024 02:25:15 PM
- Novavax to Participate in the 42nd Annual J.P. Morgan Healthcare Conference • PR Newswire (US) • 01/03/2024 02:25:00 PM
- Form 4 - Statement of changes in beneficial ownership of securities • Edgar (US Regulatory) • 12/18/2023 10:12:26 PM
- Form 4 - Statement of changes in beneficial ownership of securities • Edgar (US Regulatory) • 12/18/2023 10:09:21 PM
- Form 4 - Statement of changes in beneficial ownership of securities • Edgar (US Regulatory) • 12/18/2023 10:00:29 PM
- Novavax's Updated COVID-19 Vaccine Receives Emergency Use Authorization in Taiwan • PR Newswire (US) • 12/18/2023 01:00:00 PM
FEATURED Cannabix Technologies Launches New Compact Breath Logix Workplace Series and Prepares for Delivery to South Africa • May 7, 2024 8:51 AM
Moon Equity Holdings, Corp. Announces Acquisition of Wikolo, Inc. • MONI • May 7, 2024 9:48 AM
NanoViricides Reports that the Phase I NV-387 Clinical Trial is Completed Successfully and Data Lock is Expected Soon • NNVC • May 2, 2024 10:07 AM
ILUS Files Form 10-K and Provides Shareholder Update • ILUS • May 2, 2024 8:52 AM
Avant Technologies Names New CEO Following Acquisition of Healthcare Technology and Data Integration Firm • AVAI • May 2, 2024 8:00 AM
Bantec Engaged in a Letter of Intent to Acquire a Small New Jersey Based Manufacturing Company • BANT • May 1, 2024 10:00 AM