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NVAX Novavax Inc

4.705
0.035 (0.75%)
Last Updated: 20:01:04
Delayed by 15 minutes
Share Name Share Symbol Market Type
Novavax Inc NASDAQ:NVAX NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.035 0.75% 4.705 4.70 4.71 4.78 4.61 4.69 1,970,089 20:01:04

Amended Statement of Changes in Beneficial Ownership (4/a)

27/01/2021 10:56pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Trizzino John
2. Issuer Name and Ticker or Trading Symbol

NOVAVAX INC [ NVAX ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
EVP, Chief Commercial Officer
(Last)          (First)          (Middle)

C/O NOVAVAX, INC., 21 FIRSTFIELD ROAD
3. Date of Earliest Transaction (MM/DD/YYYY)

1/5/2021
(Street)

GAITHERSBURG, MD 20878
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

1/7/2021 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 1/5/2021  F(1)(2)  511 (3)D$116.24 866 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares

Explanation of Responses:
(1) The transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
(2) The reporting person received 579 shares of common stock upon the net exercise of 1,149 stock appreciation rights. The reporting person forfeited 59 shares of common stock underlying the stock appreciation rights representing the base value and 511 shares of common stock underlying the stock appreciation rights to satisfy the withholding tax obligations resulting from the exercise, using the closing stock price on January 5, 2021 of $116.24.
(3) This amendment to the original Form 4 filed on January 7, 2021 is being filed to correct the number of shares reported as forfeited by the reporting person to satisfy withholding tax obligations resulting from the exercise of 1,149 stock appreciation rights on January 5, 2021.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Trizzino John
C/O NOVAVAX, INC.
21 FIRSTFIELD ROAD
GAITHERSBURG, MD 20878


EVP, Chief Commercial Officer

Signatures
/s/ John A. Herrmann III, Attorney-in-Fact1/27/2021
**Signature of Reporting PersonDate

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