| 1. Name
and Address of Reporting Person * Erck Stanley C |
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
__X__ Officer (give title
below) _____ Other
(specify below)
President and CEO |
|
(Last)
(First)
(Middle)
C/O NOVAVAX, INC., 21 FIRSTFIELD ROAD |
3. Date of Earliest Transaction (MM/DD/YYYY)
11/16/2020
|
|
(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 |
| Explanation of
Responses: |
| (1) |
The transaction was effected
pursuant to a Rule 10b5-1 trading plan adopted by the reporting
person. |
| (2) |
The reported price is a
weighted average price. These shares were sold in multiple
transactions at prices ranging from $86.95 to $87.92, inclusive.
The reporting person undertakes to provide to Novavax, Inc. (the
"Company"), any security holder of the Company, or the staff of the
Securities and Exchange Commission (the "SEC"), upon request, full
information regarding the number of shares purchased at each price
within the range set forth in this footnote. |
| (3) |
The reported price is a
weighted average price. These shares were sold in multiple
transactions at prices ranging from $87.95 to $88.89, inclusive.
The reporting person undertakes to provide to the Company, any
security holder of the Company, or the staff of the SEC, upon
request, full information regarding the number of shares purchased
at each price within the range set forth in this
footnote |
| (4) |
The reported price is a
weighted average price. These shares were sold in multiple
transactions at prices ranging from $88.97 to $89.96, inclusive.
The reporting person undertakes to provide to the Company, any
security holder of the Company, or the staff of the SEC, upon
request, full information regarding the number of shares purchased
at each price within the range set forth in this
footnote |
| (5) |
The reported price is a
weighted average price. These shares were sold in multiple
transactions at prices ranging from $89.99 to $90.90, inclusive.
The reporting person undertakes to provide to the Company, any
security holder of the Company, or the staff of the SEC, upon
request, full information regarding the number of shares purchased
at each price within the range set forth in this
footnote |
| (6) |
The reported price is a
weighted average price. These shares were sold in multiple
transactions at prices ranging from $92.21 to $93.205, inclusive.
The reporting person undertakes to provide to the Company, any
security holder of the Company, or the staff of the SEC, upon
request, full information regarding the number of shares purchased
at each price within the range set forth in this
footnote |
| (7) |
The reported price is a
weighted average price. These shares were sold in multiple
transactions at prices ranging from $93.21 to $93.78, inclusive.
The reporting person undertakes to provide to the Company, any
security holder of the Company, or the staff of the SEC, upon
request, full information regarding the number of shares purchased
at each price within the range set forth in this
footnote |
| (8) |
The shares subject to this
option grant vested in four equal annual installments beginning on
the first anniversary of the June 22, 2011 grant date. |
| (9) |
The shares subject to this
option grant vested in four equal annual installments beginning on
the first anniversary of the March 1, 2012 grant date. |
