Herrmann John A III's Form 4 filing
Novavax Inc (NVAX) · filed Jul 28, 2021
- Accession no.
- 0001209191-21-048440
- Filed
- Jul 28, 2021
- Trade date
- Jul 26, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 15 non-derivative transactions and 3 derivative transactions. Open-market sales total $572.6K. It was filed 2 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.
| Owner | Relationship to the company |
|---|---|
| Herrmann John A IIICIK 0001610928 | Officer (EVP, Chief Legal Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 26, 2021 | Common Stock | MOption exerciseAcquired | +417 | $27.60 | +$11,509.2 | 1,123 | Direct | |
| Jul 26, 2021 | Common Stock | MOption exerciseAcquired | +417 | $46.00 | +$19,182 | 1,540 | Direct | |
| Jul 26, 2021 | Common Stock | MOption exerciseAcquired | +2,062 | $5.95 | +$12,268.9 | 3,602 | Direct | |
| Jul 26, 2021 | Common Stock | SSaleDisposed | −151 | $193.09 | −$29,156.59 | 3,451 | Direct | |
| Jul 26, 2021 | Common Stock | SSaleDisposed | −423 | $194.26 | −$82,171.98 | 3,028 | Direct | |
| Jul 26, 2021 | Common Stock | SSaleDisposed | −263 | $195.29 | −$51,361.27 | 2,765 | Direct | |
| Jul 26, 2021 | Common Stock | SSaleDisposed | −313 | $196.12 | −$61,385.56 | 2,452 | Direct | |
| Jul 26, 2021 | Common Stock | SSaleDisposed | −485 | $197.47 | −$95,772.95 | 1,967 | Direct | |
| Jul 26, 2021 | Common Stock | SSaleDisposed | −317 | $198.20 | −$62,829.4 | 1,650 | Direct | |
| Jul 26, 2021 | Common Stock | SSaleDisposed | −224 | $199.47 | −$44,681.28 | 1,426 | Direct | |
| Jul 26, 2021 | Common Stock | SSaleDisposed | −256 | $200.47 | −$51,320.32 | 1,170 | Direct | |
| Jul 26, 2021 | Common Stock | SSaleDisposed | −209 | $201.56 | −$42,126.04 | 961 | Direct | |
| Jul 26, 2021 | Common Stock | SSaleDisposed | −129 | $202.58 | −$26,132.82 | 832 | Direct | |
| Jul 26, 2021 | Common Stock | SSaleDisposed | −58 | $203.45 | −$11,800.1 | 774 | Direct | |
| Jul 26, 2021 | Common Stock | SSaleDisposed | −68 | $204.57 | −$13,910.76 | 706 | Direct |
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.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 26, 2021 | Common Stock | MOption exerciseDisposed | −417 | $0.00 | $0 | 2,095 | Direct | |
| Jul 26, 2021 | Common Stock | MOption exerciseDisposed | −417 | $0.00 | $0 | 7,092 | Direct | |
| Jul 26, 2021 | Common Stock | MOption exerciseDisposed | −2,062 | $0.00 | $0 | 53,626 | Direct |
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.