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Erck Stanley C's Form 4 filing

Novavax Inc (NVAX) · filed Jul 6, 2021

Accession no.
0001209191-21-045558
Filed
Jul 6, 2021
Trade date
Jul 1-2, 2021
Filing delay
5 days
Rule 10b5-1 plan
Not on the form (before 2023)

This filing lists 25 non-derivative transactions and 5 derivative transactions. Open-market sales total $22.5M. It was filed 5 days after the trade.

Reporting owners

A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.

Reporting owners on this filing
OwnerRelationship to the company
Erck Stanley CCIK 0001342826Director, Officer (President and CEO)

Non-derivative securities (Table I)

Acquisitions and disposals of common stock and similar shares, one row per line on the filing.

Non-derivative transactions
Trade dateSecurityTransactionSharesPriceValueShares afterOwnershipFlags
Jul 1, 2021Common StockMOption exerciseAcquired+15,181$25.60+$388,633.635,676Direct
Jul 1, 2021Common StockMOption exerciseAcquired+19,879$36.60+$727,571.455,555Direct
Jul 1, 2021Common StockMOption exerciseAcquired+17,560$121.00+$2,124,76073,115Direct
Jul 1, 2021Common StockSSaleDisposed−2,046$209.20−$428,023.271,069Direct
Jul 1, 2021Common StockSSaleDisposed−6,105$210.02−$1,282,172.164,964Direct
Jul 1, 2021Common StockSSaleDisposed−4,117$211.07−$868,975.1960,847Direct
Jul 1, 2021Common StockSSaleDisposed−6,419$212.15−$1,361,790.8554,428Direct
Jul 1, 2021Common StockSSaleDisposed−12,703$213.07−$2,706,628.2141,725Direct
Jul 1, 2021Common StockSSaleDisposed−12,917$214.13−$2,765,917.2128,808Direct
Jul 1, 2021Common StockSSaleDisposed−6,984$214.97−$1,501,350.4821,824Direct
Jul 1, 2021Common StockSSaleDisposed−1,329$215.70−$286,665.320,495Direct
Jul 2, 2021Common StockMOption exerciseAcquired+25,120$36.60+$919,39245,615Direct
Jul 2, 2021Common StockMOption exerciseAcquired+27,439$121.00+$3,320,11973,054Direct
Jul 2, 2021Common StockSSaleDisposed−1,970$210.23−$414,153.171,084Direct
Jul 2, 2021Common StockSSaleDisposed−4,242$211.21−$895,952.8266,842Direct
Jul 2, 2021Common StockSSaleDisposed−7,616$212.29−$1,616,800.6459,226Direct
Jul 2, 2021Common StockSSaleDisposed−2,355$213.38−$502,509.956,871Direct
Jul 2, 2021Common StockSSaleDisposed−4,466$214.76−$959,118.1652,405Direct
Jul 2, 2021Common StockSSaleDisposed−5,190$215.74−$1,119,690.647,215Direct
Jul 2, 2021Common StockSSaleDisposed−2,994$216.92−$649,458.4844,221Direct
Jul 2, 2021Common StockSSaleDisposed−9,969$217.84−$2,171,646.9634,252Direct
Jul 2, 2021Common StockSSaleDisposed−7,423$218.77−$1,623,929.7126,829Direct
Jul 2, 2021Common StockSSaleDisposed−5,031$219.76−$1,105,612.5621,798Direct
Jul 2, 2021Common StockSSaleDisposed−628$220.80−$138,662.421,170Direct
Jul 2, 2021Common StockSSaleDisposed−675$221.53−$149,532.7520,495Direct

Derivative securities (Table II)

Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.

Derivative transactions
Trade dateSecurityTransactionUnderlying sharesUnit priceValueHeld afterOwnershipFlags
Jul 1, 2021Common StockMOption exerciseDisposed−15,181$0.00$00Direct
Jul 1, 2021Common StockMOption exerciseDisposed−19,879$0.00$025,120Direct
Jul 1, 2021Common StockMOption exerciseDisposed−17,560$0.00$027,439Direct
Jul 2, 2021Common StockMOption exerciseDisposed−25,120$0.00$00Direct
Jul 2, 2021Common StockMOption exerciseDisposed−27,439$0.00$00Direct

Footnotes

Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.

Read the original on SEC EDGAR (opens in a new tab)