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Erck Stanley C's Form 4 filing

Novavax Inc (NVAX) · filed Oct 5, 2021

Accession no.
0001209191-21-059552
Filed
Oct 5, 2021
Trade date
Oct 1, 2021
Filing delay
4 days
Rule 10b5-1 plan
Not on the form (before 2023)

This filing lists 25 non-derivative transactions and 2 derivative transactions. Open-market sales total $8.58M. It was filed 4 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
Oct 1, 2021Common StockMOption exerciseAcquired+14,000$27.60+$386,40037,879Direct
Oct 1, 2021Common StockMOption exerciseAcquired+35,000$27.00+$945,00072,879Direct
Oct 1, 2021Common StockSSaleDisposed−703$164.74−$115,812.2272,176Direct
Oct 1, 2021Common StockSSaleDisposed−904$165.68−$149,774.7271,272Direct
Oct 1, 2021Common StockSSaleDisposed−1,100$166.62−$183,28270,172Direct
Oct 1, 2021Common StockSSaleDisposed−2,801$167.88−$470,231.8867,371Direct
Oct 1, 2021Common StockSSaleDisposed−1,959$169.05−$331,168.9565,412Direct
Oct 1, 2021Common StockSSaleDisposed−901$170.07−$153,233.0764,511Direct
Oct 1, 2021Common StockSSaleDisposed−2,602$171.34−$445,826.6861,909Direct
Oct 1, 2021Common StockSSaleDisposed−4,103$172.02−$705,798.0657,806Direct
Oct 1, 2021Common StockSSaleDisposed−3,002$173.16−$519,826.3254,804Direct
Oct 1, 2021Common StockSSaleDisposed−5,853$174.30−$1,020,177.948,951Direct
Oct 1, 2021Common StockSSaleDisposed−3,602$175.15−$630,890.345,349Direct
Oct 1, 2021Common StockSSaleDisposed−2,601$176.24−$458,400.2442,748Direct
Oct 1, 2021Common StockSSaleDisposed−6,227$177.37−$1,104,482.9936,521Direct
Oct 1, 2021Common StockSSaleDisposed−4,604$178.27−$820,755.0831,917Direct
Oct 1, 2021Common StockSSaleDisposed−1,323$179.29−$237,200.6730,594Direct
Oct 1, 2021Common StockSSaleDisposed−2,541$180.42−$458,447.2228,053Direct
Oct 1, 2021Common StockSSaleDisposed−1,600$181.21−$289,93626,453Direct
Oct 1, 2021Common StockSSaleDisposed−300$182.40−$54,72026,153Direct
Oct 1, 2021Common StockSSaleDisposed−192$183.61−$35,253.1225,961Direct
Oct 1, 2021Common StockSSaleDisposed−8$185.71−$1,485.6825,953Direct
Oct 1, 2021Common StockSSaleDisposed−100$187.95−$18,79525,853Direct
Oct 1, 2021Common StockSSaleDisposed−1,502$189.47−$284,583.9424,351Direct
Oct 1, 2021Common StockSSaleDisposed−472$190.63−$89,977.3623,879Direct

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
Oct 1, 2021Common StockMOption exerciseDisposed−14,000$0.00$068,499Direct
Oct 1, 2021Common StockMOption exerciseDisposed−35,000$0.00$010,829Direct

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)