Trizzino John's Form 4 filing
Novavax Inc (NVAX) · filed Sep 15, 2021
- Accession no.
- 0001209191-21-056193
- Filed
- Sep 15, 2021
- Trade date
- Sep 13-14, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 22 non-derivative transactions and 2 derivative transactions. Open-market sales total $3.54M. 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 |
|---|---|
| Trizzino JohnCIK 0001468534 | Officer (EVP, CCO and CBO) |
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 13, 2021 | Common Stock | MOption exerciseAcquired | +7,499 | $19.08 | +$143,080.92 | 8,217 | Direct | |
| Sep 13, 2021 | Common Stock | SSaleDisposed | −429 | $231.29F2 | −$99,223.41 | 7,788 | Direct | |
| Sep 13, 2021 | Common Stock | SSaleDisposed | −1,317 | $232.24F3 | −$305,860.08 | 6,471 | Direct | |
| Sep 13, 2021 | Common Stock | SSaleDisposed | −1,279 | $233.25F4 | −$298,326.75 | 5,192 | Direct | |
| Sep 13, 2021 | Common Stock | SSaleDisposed | −1,091 | $234.26F5 | −$255,577.66 | 4,101 | Direct | |
| Sep 13, 2021 | Common Stock | SSaleDisposed | −1,293 | $235.50F6 | −$304,501.5 | 2,808 | Direct | |
| Sep 13, 2021 | Common Stock | SSaleDisposed | −880 | $236.38F7 | −$208,014.4 | 1,928 | Direct | |
| Sep 13, 2021 | Common Stock | SSaleDisposed | −493 | $237.84F8 | −$117,255.12 | 1,435 | Direct | |
| Sep 13, 2021 | Common Stock | SSaleDisposed | −66 | $238.13F9 | −$15,716.58 | 1,369 | Direct | |
| Sep 13, 2021 | Common Stock | SSaleDisposed | −74 | $242.62F10 | −$17,953.88 | 1,295 | Direct | |
| Sep 13, 2021 | Common Stock | SSaleDisposed | −333 | $245.16F11 | −$81,638.28 | 962 | Direct | |
| Sep 13, 2021 | Common Stock | SSaleDisposed | −244 | $247.33F12 | −$60,348.52 | 718 | Direct | |
| Sep 14, 2021 | Common Stock | MOption exerciseAcquired | +7,499 | $19.08 | +$143,080.92 | 8,217 | Direct | |
| Sep 14, 2021 | Common Stock | SSaleDisposed | −898 | $233.17F13 | −$209,386.66 | 7,319 | Direct | |
| Sep 14, 2021 | Common Stock | SSaleDisposed | −905 | $233.90F14 | −$211,679.5 | 6,414 | Direct | |
| Sep 14, 2021 | Common Stock | SSaleDisposed | −682 | $235.16F15 | −$160,379.12 | 5,732 | Direct | |
| Sep 14, 2021 | Common Stock | SSaleDisposed | −1,422 | $236.16F16 | −$335,819.52 | 4,310 | Direct | |
| Sep 14, 2021 | Common Stock | SSaleDisposed | −799 | $237.14F17 | −$189,474.86 | 3,511 | Direct | |
| Sep 14, 2021 | Common Stock | SSaleDisposed | −1,423 | $238.10F18 | −$338,816.3 | 2,088 | Direct | |
| Sep 14, 2021 | Common Stock | SSaleDisposed | −564 | $238.95F19 | −$134,767.8 | 1,524 | Direct | |
| Sep 14, 2021 | Common Stock | SSaleDisposed | −590 | $240.37F20 | −$141,818.3 | 934 | Direct | |
| Sep 14, 2021 | Common Stock | SSaleDisposed | −216 | $241.70F21 | −$52,207.2 | 718 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 13, 2021 | Common Stock | MOption exerciseDisposed | −7,499 | $0.00 | $0 | 132,501 | Direct | |
| Sep 14, 2021 | Common Stock | MOption exerciseDisposed | −7,499 | $0.00 | $0 | 125,002 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $230.81 to $231.77, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F3
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $231.83 to $232.82, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F4
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $232.85 to $233.83, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F5
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $233.85 to $234.81, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F6
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $234.93 to $235.92, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F7
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $235.93 to $236.79, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F8
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $237.01 to $237.95, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F9
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $238.04 to $238.85, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F10
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $242.60 to $242.63, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F11
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $245.13 to $245.17, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F12
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $247.01 to $247.74, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F13
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $232.52 to $233.48, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F14
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $233.55 to $234.27, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F15
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $234.62 to $235.61, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F16
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $235.64 to $236.56, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F17
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $236.68 to $237.65, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F18
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $237.71 to $238.52, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F19
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $238.71 to $239.43, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F20
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $240.07 to $240.98, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F21
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $241.66 to $241.75, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.