Form Type: 4/A

SEC EDGAR Link
Accession Number:0001209191-21-005735
Date:2021-01-05
Issuer: NOVAVAX INC (NVAX)
Original Submission Date:2021-01-07

Reporting Person:

TRIZZINO JOHN
C/O NOVAVAX, INC.
21 FIRSTFIELD ROAD GAITHERSBURG, MD 20878

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-01-05 F 511 d $116.24 866 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the transaction was effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person.
f2 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.
f3 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.

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