| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | NVAX | Common Stock | Options Exercise | +3.1K | +76.34% | 7.16K | Dec 14, 2021 | Direct | F1 | ||
| transaction | NVAX | Common Stock | Tax liability | -$252K | -1.5K | -20.92% | $168.43* | 5.66K | Dec 14, 2021 | Direct | |
| transaction | NVAX | Common Stock | Options Exercise | $28.3K | +1.02K | +18.08% | $27.60 | 6.69K | Dec 15, 2021 | Direct | F2 |
| transaction | NVAX | Common Stock | Options Exercise | $30.5K | +662 | +9.9% | $46.00* | 7.35K | Dec 15, 2021 | Direct | F2 |
| transaction | NVAX | Common Stock | Sale | -$19.8K | -117 | -1.59% | $168.82* | 7.23K | Dec 15, 2021 | Direct | F2, F3 |
| transaction | NVAX | Common Stock | Sale | -$36.3K | -213 | -2.95% | $170.46* | 7.02K | Dec 15, 2021 | Direct | F2, F4 |
| transaction | NVAX | Common Stock | Sale | -$43.6K | -254 | -3.62% | $171.47* | 6.77K | Dec 15, 2021 | Direct | F2, F5 |
| transaction | NVAX | Common Stock | Sale | -$42.7K | -248 | -3.67% | $172.38* | 6.52K | Dec 15, 2021 | Direct | F2, F6 |
| transaction | NVAX | Common Stock | Sale | -$15.8K | -91 | -1.4% | $173.29* | 6.43K | Dec 15, 2021 | Direct | F2, F7 |
| transaction | NVAX | Common Stock | Sale | -$23.9K | -137 | -2.13% | $174.65* | 6.29K | Dec 15, 2021 | Direct | F2, F8 |
| transaction | NVAX | Common Stock | Sale | -$11.8K | -67 | -1.07% | $175.89* | 6.22K | Dec 15, 2021 | Direct | F2, F9 |
| transaction | NVAX | Common Stock | Sale | -$39.4K | -223 | -3.58% | $176.83* | 6K | Dec 15, 2021 | Direct | F2, F10 |
| transaction | NVAX | Common Stock | Sale | -$18.4K | -103 | -1.72% | $178.99* | 5.9K | Dec 15, 2021 | Direct | F2, F11 |
| transaction | NVAX | Common Stock | Sale | -$37K | -206 | -3.49% | $179.58* | 5.69K | Dec 15, 2021 | Direct | F2, F12 |
| transaction | NVAX | Common Stock | Sale | -$4.88K | -27 | -0.47% | $180.62* | 5.66K | Dec 15, 2021 | Direct | F2, F13 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | NVAX | Restricted Stock Units | Options Exercise | $0 | -3.1K | -33.33% | $0.00 | 6.2K | Dec 14, 2021 | Common Stock | 3.1K | Direct | F1, F14 | |
| transaction | NVAX | Stock Option (Right to Buy) | Options Exercise | $0 | -1.02K | -100% | $0.00* | 0 | Dec 15, 2021 | Common Stock | 1.02K | $27.60 | Direct | F2, F15 |
| transaction | NVAX | Stock Option (Right to Buy) | Options Exercise | $0 | -662 | -7.69% | $0.00 | 7.94K | Dec 15, 2021 | Common Stock | 662 | $46.00 | Direct | F2, F16 |
| Id | Content |
|---|---|
| F1 | Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. |
| F2 | The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. |
| 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. |
| 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. |
| 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. |
| 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. |
| 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. |
| 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. |
| 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. |
| 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. |
| 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. |
| 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. |
| 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. |
| F14 | The RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan") vested or will vest with respect to one-third (1/3) of the RSUs on each of the first three (3) anniversaries of the December 14, 2020 grant date, in each case subject to continued employment through such vesting date. |
| F15 | Twenty-five percent (25%) of the shares subject to this option grant under the Plan vested on the first anniversary of the December 15, 2017 grant date, and the remaining seventy-five percent (75%) of the shares vested in equal monthly installments over the following three (3) years subject to continued employment through such vesting date. |
| F16 | Twenty-five percent (25%) of the shares subject to this option grant under the Plan vested on the first anniversary of the December 13, 2018 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date. |