Herrmann John A III's Form 4 filing
Novavax Inc (NVAX) · filed Jan 5, 2022
- Accession no.
- 0001209191-22-001815
- Filed
- Jan 5, 2022
- Trade date
- Jan 3, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 9 non-derivative transactions and 1 derivative transaction. Open-market sales total $704.5K. 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 3, 2022 | Common Stock | MOption exerciseAcquired | +5,000 | $19.08 | +$95,400 | 8,845 | Direct | |
| Jan 3, 2022 | Common Stock | SSaleDisposed | −400 | $136.82 | −$54,728 | 8,445 | Direct | |
| Jan 3, 2022 | Common Stock | SSaleDisposed | −400 | $137.85 | −$55,140 | 8,045 | Direct | |
| Jan 3, 2022 | Common Stock | SSaleDisposed | −997 | $139.08 | −$138,662.76 | 7,048 | Direct | |
| Jan 3, 2022 | Common Stock | SSaleDisposed | −500 | $140.05 | −$70,025 | 6,548 | Direct | |
| Jan 3, 2022 | Common Stock | SSaleDisposed | −800 | $141.69 | −$113,352 | 5,748 | Direct | |
| Jan 3, 2022 | Common Stock | SSaleDisposed | −800 | $142.65 | −$114,120 | 4,948 | Direct | |
| Jan 3, 2022 | Common Stock | SSaleDisposed | −1,003 | $143.64 | −$144,070.92 | 3,945 | Direct | |
| Jan 3, 2022 | Common Stock | SSaleDisposed | −100 | $144.43 | −$14,443 | 3,845 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 3, 2022 | Common Stock | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 80,000 | 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.