Glenn Gregory M's Form 4 filing
Novavax Inc (NVAX) · filed Nov 17, 2021
- Accession no.
- 0001209191-21-065181
- Filed
- Nov 17, 2021
- Trade date
- Nov 15-16, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 9 non-derivative transactions and 3 derivative transactions. Open-market sales total $1.60M. 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 |
|---|---|
| Glenn Gregory MCIK 0001342823 | Officer (President, R&D) |
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 15, 2021 | Common Stock | MOption exerciseAcquired | +521 | $27.60 | +$14,379.6 | 4,582 | Direct | |
| Nov 15, 2021 | Common Stock | MOption exerciseAcquired | +662 | $46.00 | +$30,452 | 5,244 | Direct | |
| Nov 15, 2021 | Common Stock | SSaleDisposed | −1,183 | $172.02 | −$203,499.66 | 4,061 | Direct | |
| Nov 16, 2021 | Common Stock | MOption exerciseAcquired | +8,250 | $19.08 | +$157,410 | 12,311 | Direct | |
| Nov 16, 2021 | Common Stock | SSaleDisposed | −500 | $166.89 | −$83,445 | 11,811 | Direct | |
| Nov 16, 2021 | Common Stock | SSaleDisposed | −1,472 | $167.95 | −$247,222.4 | 10,339 | Direct | |
| Nov 16, 2021 | Common Stock | SSaleDisposed | −1,326 | $168.91 | −$223,974.66 | 9,013 | Direct | |
| Nov 16, 2021 | Common Stock | SSaleDisposed | −4,352 | $170.26 | −$740,971.52 | 4,661 | Direct | |
| Nov 16, 2021 | Common Stock | SSaleDisposed | −600 | $170.94 | −$102,564 | 4,061 | 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 15, 2021 | Common Stock | MOption exerciseDisposed | −521 | $0.00 | $0 | 1,024 | Direct | |
| Nov 15, 2021 | Common Stock | MOption exerciseDisposed | −662 | $0.00 | $0 | 8,606 | Direct | |
| Nov 16, 2021 | Common Stock | MOption exerciseDisposed | −8,250 | $0.00 | $0 | 107,250 | 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.