Glenn Gregory M's Form 4 filing
Novavax Inc (NVAX) · filed Dec 16, 2021
- Accession no.
- 0001209191-21-070012
- Filed
- Dec 16, 2021
- Trade date
- Dec 14-15, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 15 non-derivative transactions and 3 derivative transactions. Open-market sales total $293.6K. 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 14, 2021 | Common Stock | MOption exerciseAcquired | +3,100 | –F1 | – | 7,161 | Direct | |
| Dec 14, 2021 | Common Stock | FTax withholdingDisposed | −1,498 | $168.43 | −$252,308.14 | 5,663 | Direct | |
| Dec 15, 2021 | Common Stock | MOption exerciseAcquired | +1,024 | $27.60 | +$28,262.4 | 6,687 | Direct | |
| Dec 15, 2021 | Common Stock | MOption exerciseAcquired | +662 | $46.00 | +$30,452 | 7,349 | Direct | |
| Dec 15, 2021 | Common Stock | SSaleDisposed | −117 | $168.82F3 | −$19,751.94 | 7,232 | Direct | |
| Dec 15, 2021 | Common Stock | SSaleDisposed | −213 | $170.46F4 | −$36,307.98 | 7,019 | Direct | |
| Dec 15, 2021 | Common Stock | SSaleDisposed | −254 | $171.47F5 | −$43,553.38 | 6,765 | Direct | |
| Dec 15, 2021 | Common Stock | SSaleDisposed | −248 | $172.38F6 | −$42,750.24 | 6,517 | Direct | |
| Dec 15, 2021 | Common Stock | SSaleDisposed | −91 | $173.29F7 | −$15,769.39 | 6,426 | Direct | |
| Dec 15, 2021 | Common Stock | SSaleDisposed | −137 | $174.65F8 | −$23,927.05 | 6,289 | Direct | |
| Dec 15, 2021 | Common Stock | SSaleDisposed | −67 | $175.89F9 | −$11,784.63 | 6,222 | Direct | |
| Dec 15, 2021 | Common Stock | SSaleDisposed | −223 | $176.83F10 | −$39,433.09 | 5,999 | Direct | |
| Dec 15, 2021 | Common Stock | SSaleDisposed | −103 | $178.99F11 | −$18,435.97 | 5,896 | Direct | |
| Dec 15, 2021 | Common Stock | SSaleDisposed | −206 | $179.58F12 | −$36,993.48 | 5,690 | Direct | |
| Dec 15, 2021 | Common Stock | SSaleDisposed | −27 | $180.62F13 | −$4,876.74 | 5,663 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 14, 2021 | Common Stock | MOption exerciseDisposed | −3,100 | $0.00 | $0 | 6,200 | Direct | |
| Dec 15, 2021 | Common Stock | MOption exerciseDisposed | −1,024 | $0.00 | $0 | 0 | Direct | |
| Dec 15, 2021 | Common Stock | MOption exerciseDisposed | −662 | $0.00 | $0 | 7,944 | 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.
- F1
Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.
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 $168.61 to $169.27, inclusive. The reporting person undertakes to provide to 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.
- F4
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $169.78 to $170.71, 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 $170.94 to $171.93, 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 $171.97 to $172.96, 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.
- F7
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $172.97 to $173.79, 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 $174.03 to $175.00, 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 $175.31 to $176.29, 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 $176.42 to $177.36, 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 $178.29 to $179.26, 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 $179.31 to $179.89, 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 $180.47 to $180.81, 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.