Herrmann John A III's Form 4 filing
Novavax Inc (NVAX) · filed Nov 3, 2021
- Accession no.
- 0001209191-21-062725
- Filed
- Nov 3, 2021
- Trade date
- Nov 1, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 16 non-derivative transactions and 1 derivative transaction. Open-market sales total $815.4K. 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 1, 2021 | Common Stock | MOption exerciseAcquired | +5,000 | $19.08 | +$95,400 | 7,760 | Direct | |
| Nov 1, 2021 | Common Stock | SSaleDisposed | −400 | $155.16F2 | −$62,064 | 7,360 | Direct | |
| Nov 1, 2021 | Common Stock | SSaleDisposed | −300 | $155.96F3 | −$46,788 | 7,060 | Direct | |
| Nov 1, 2021 | Common Stock | SSaleDisposed | −800 | $157.42F4 | −$125,936 | 6,260 | Direct | |
| Nov 1, 2021 | Common Stock | SSaleDisposed | −400 | $158.54F5 | −$63,416 | 5,860 | Direct | |
| Nov 1, 2021 | Common Stock | SSaleDisposed | −343 | $159.90F6 | −$54,845.7 | 5,517 | Direct | |
| Nov 1, 2021 | Common Stock | SSaleDisposed | −400 | $162.10F7 | −$64,840 | 5,117 | Direct | |
| Nov 1, 2021 | Common Stock | SSaleDisposed | −100 | $162.69 | −$16,269 | 5,017 | Direct | |
| Nov 1, 2021 | Common Stock | SSaleDisposed | −300 | $164.02F8 | −$49,206 | 4,717 | Direct | |
| Nov 1, 2021 | Common Stock | SSaleDisposed | −200 | $165.67F9 | −$33,134 | 4,517 | Direct | |
| Nov 1, 2021 | Common Stock | SSaleDisposed | −200 | $167.15F10 | −$33,430 | 4,317 | Direct | |
| Nov 1, 2021 | Common Stock | SSaleDisposed | −400 | $168.32F11 | −$67,328 | 3,917 | Direct | |
| Nov 1, 2021 | Common Stock | SSaleDisposed | −200 | $169.05F12 | −$33,810 | 3,717 | Direct | |
| Nov 1, 2021 | Common Stock | SSaleDisposed | −500 | $170.88F13 | −$85,440 | 3,217 | Direct | |
| Nov 1, 2021 | Common Stock | SSaleDisposed | −300 | $172.44F14 | −$51,732 | 2,917 | Direct | |
| Nov 1, 2021 | Common Stock | SSaleDisposed | −157 | $173.15 | −$27,184.55 | 2,760 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 1, 2021 | Common Stock | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 105,000 | 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 $154.65 to $155.48, inclusive. The reporting person undertakes to provide to Novavax, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission (the "SEC"), 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 $155.85 to $156.16, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, 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 $157.04 to $157.96, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, 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 $158.17 to $159.13, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, 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 $159.56 to $160.40, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, 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 $161.64 to $162.30, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, 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 $163.69 to $164.58, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, 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 $165.39 to $165.94, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, 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 $166.81 to $167.48, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, 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 $167.86 to $168.78, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, 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 $168.99 to $169.10, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, 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 $170.52 to $171.21, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, 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 $172.02 to $172.67, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, 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.