Herrmann John A III's Form 4 filing
Novavax Inc (NVAX) · filed Sep 17, 2021
- Accession no.
- 0001209191-21-056676
- Filed
- Sep 17, 2021
- Trade date
- Sep 15, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 11 non-derivative transactions and 1 derivative transaction. Open-market sales total $1.15M. 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 15, 2021 | Common Stock | MOption exerciseAcquired | +5,000 | $19.08 | +$95,400 | 5,706 | Direct | |
| Sep 15, 2021 | Common Stock | SSaleDisposed | −100 | $223.51 | −$22,351 | 5,606 | Direct | |
| Sep 15, 2021 | Common Stock | SSaleDisposed | −200 | $224.94 | −$44,988 | 5,406 | Direct | |
| Sep 15, 2021 | Common Stock | SSaleDisposed | −906 | $226.34 | −$205,064.04 | 4,500 | Direct | |
| Sep 15, 2021 | Common Stock | SSaleDisposed | −520 | $227.34 | −$118,216.8 | 3,980 | Direct | |
| Sep 15, 2021 | Common Stock | SSaleDisposed | −300 | $228.22 | −$68,466 | 3,680 | Direct | |
| Sep 15, 2021 | Common Stock | SSaleDisposed | −800 | $229.57 | −$183,656 | 2,880 | Direct | |
| Sep 15, 2021 | Common Stock | SSaleDisposed | −500 | $230.52 | −$115,260 | 2,380 | Direct | |
| Sep 15, 2021 | Common Stock | SSaleDisposed | −1,112 | $231.91 | −$257,883.92 | 1,268 | Direct | |
| Sep 15, 2021 | Common Stock | SSaleDisposed | −300 | $232.57 | −$69,771 | 968 | Direct | |
| Sep 15, 2021 | Common Stock | SSaleDisposed | −262 | $234.90 | −$61,543.8 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 15, 2021 | Common Stock | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 115,000 | 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.