Novavax Inc (NVAX)

HEALTH CARE: PHARMACEUTICALS
SIC: BIOLOGICAL PRODUCTS, (NO DISGNOSTIC SUBSTANCES)

21 FIRSTFIELD ROAD GAITHERSBURG, MD 20878

Novavax is a clinical-stage biopharmaceutical company focused on developing recombinant vaccines to address a range of infectious diseases. Co.'s technology platform is based on proprietary recombinant vaccine technology that includes virus-like particles and recombinant nanoparticle vaccines. Co.'s product pipeline targets a range of infectious diseases and its vaccine candidates are in or have completed clinical trials that target pandemic influenza, seasonal influenza and respiratory syncytial virus. Further, CPL Biologics Private Limited, Co.'s joint venture company in India, is developing a rabies vaccine candidate.

Data as of 2021-02-27 10:01:12 -0500
Market Cap14.72 Billion Shares Outstanding63.66 Million Avg 30-day Volume6.039 Million
P/E Ratio-54.01373 Dividend Yield EPS-5.66
Price/Sales71.89 Debt to Equity3.08 EBITDA-258.061 Million
Price to Book Value138.29 Forward PE12.92 Enterprise Value14.657 Billion
Total Cash504.031 Million Current Debt239.218 Million Gross Profit204.755 Million
BETA0.73689 52-week High/Low331.68 / 6.77 Next Earnings Date2021-03-11 Price to Cash FLow (P/CF) -9999999.0
Data provided by IEX Cloud
View SEC Filings from NVAX instead.
Q4 2020 All 13F Filers Prior Change Hedge Funds 1 Prior Change
In top 10: 6 6 0.0% 4 (0.24%) 6 (0.37%) -33.33%
Funds Holding: 332 305 8.85% 77 (4.64%) 81 (5.04%) -4.94%
13F shares: 38.223 Million 31.771 Million 20.31% 12.165 Million 9.114 Million 33.47%
% Ownership 60.042 49.9072 20.31% 19.1089 14.3174 33.47%
New Positions: 88 121 -27.27% 17 42 -59.52%
Increased Positions 112 90 24.44% 24 14 71.43%
Closed Positions 52 25 108.0% 21 8 162.5%
Reduced Positions 83 76 9.21% 29 23 26.09%
Total Calls 4.023 Million 4.124 Million -2.45% 802.4 Thousand 1.124 Million -28.59%
Total Puts 5.37 Million 4.878 Million 10.1% 1.71 Million 1.841 Million -7.1%
PUT/CALL Ratio 1.33 1.18 12.71% 2.13 1.64 29.88%
1 hedge funds and active managers as identified by whalewisdom.com through public filings.

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Funds Holding NVAX (via 13F filings)

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Mutual Funds Holding NVAX BETA

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

47.3 Thousand total shares from 73 transactions

Exercise Derivative Conversion (M)

45.6 Thousand total shares from 23 transactions

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

HERRMANN JOHN A III EVP, CHIEF LEGAL OFFICER

  • Officer
77,564 2021-02-26 11

GLENN GREGORY M PRESIDENT, R&D

  • Officer
5,245 2021-02-16 9

TRIZZINO JOHN EVP, CHIEF COMMERCIAL OFFICER

  • Officer
287 2021-02-05 14

DOUGLAS RICHARD

  • Director
28,500 2020-12-31 2

YOUNG JAMES F

  • Director
11,500 2020-12-31 4

ERCK STANLEY C PRESIDENT AND CEO

  • Officer
  • Director
0 2020-12-14 8

MCGLYNN MARGARET G

  • Director
0 2020-12-07 2

COVINO GREGORY F EVP, CHIEF FINANCIAL OFFICER

  • Officer
0 2020-11-16 2

ALTON GREGG H

  • Director
0 2020-10-31 2

EVANS GARY C

  • Director
16,724 2020-08-18 3

MCMANUS MICHAEL A JR

  • Director
9,951 2020-08-18 2

KING RACHEL K.

  • Director
0 2020-06-25 1

MOTT DAVID M

  • Director
0 2020-06-25 3

PHILLIPS BARCLAY A SVP, CHIEF FINANCIAL OFFICER

  • Officer
38,669 2017-07-31 0

BOUDREAUX GAIL

  • Director
0 2017-03-16 0

MODI RAJIV I.

  • Director
2,500,000 2015-06-16 0

WILSON RUSSELL P SVP, BUSINESS DEVELOPMENT

  • Officer
0 2015-03-05 0

HAHN TIMOTHY JON SVP, MANUFACTURING

  • Officer
0 2015-03-05 0

CADILA PHARMACEUTICALS LTD

SATELLITE OVERSEAS (HOLDINGS) LTD

  • 10% Owner
No longer subject to file 2014-03-12 0

MARSH JOHN O JR

  • Director
0 2014-03-06 0

DRISCOLL FREDERICK W VP, CFO & TREASURER

  • Officer
0 2013-03-02 0

SINGHVI RAHUL PRESIDENT, CEO

  • Officer
  • Director
0 2011-03-10 0

THORNTON MARK OWENS SVP & CHIEF MEDICAL OFFICER

  • Officer
25,000 2010-05-24 0

LAMBERT JOHN A

  • Director
0 2010-04-15 0

JOHNSTON THOMAS SCOTT VICE PRESIDENT, STRATEGY

  • Officer
0 2010-03-15 0

HEATON PENNY VP & CHIEF MEDICAL OFFICER

  • Officer
18,667 2009-07-02 0

HAGE RAYMOND JOSEPH SR. VP. COMMERCIAL OPERATIONS

  • Officer
11,512 2009-07-01 0

KOPSIDAS EVDOXIA E SR.DIR.FIN.,PRIN.ACCTG.OFFICER

  • Officer
0 2009-06-17 0

ROBINSON JIM VP, TECHNICAL & QUALITY OPS.

  • Officer
0 2009-03-05 0

MONATH THOMAS P

  • Director
0 2009-03-05 0

TANANBAUM JAMES B

  • Director
0 2009-03-05 0

STIGLIANO LEN F VP, CFO, TREASURER

  • Officer
20,554 2008-07-31 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-03-02 17:37:56 -0500 2021-02-26 M 416 d 9,175 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-03-02 17:37:56 -0500 2021-02-26 S 59 $231.41 d 287 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-03-02 17:37:56 -0500 2021-02-26 S 569 $227.82 d 753 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-03-02 17:37:56 -0500 2021-02-26 S 120 $224.93 d 2,108 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-03-02 17:37:56 -0500 2021-02-26 S 250 $221.32 d 2,643 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-03-02 17:37:56 -0500 2021-02-26 M 2,063 $5.95 a 3,170 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-03-02 17:37:56 -0500 2021-02-26 M 416 d 4,176 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-03-02 17:37:56 -0500 2021-02-26 S 38 $230.04 d 346 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-03-02 17:37:56 -0500 2021-02-26 S 538 $226.59 d 1,322 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-03-02 17:37:56 -0500 2021-02-26 S 188 $223.48 d 2,228 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-03-02 17:37:56 -0500 2021-02-26 S 168 $220.33 d 2,893 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-03-02 17:37:56 -0500 2021-02-26 M 416 $46.00 a 1,107 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-03-02 17:37:56 -0500 2021-02-26 M 2,063 d 63,938 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-03-02 17:37:56 -0500 2021-02-26 S 12 $232.35 d 275 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-03-02 17:37:56 -0500 2021-02-26 S 369 $228.64 d 384 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-03-02 17:37:56 -0500 2021-02-26 S 248 $225.45 d 1,860 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-03-02 17:37:56 -0500 2021-02-26 S 227 $222.39 d 2,416 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-03-02 17:37:56 -0500 2021-02-26 S 109 $219.55 d 3,061 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-03-02 17:37:56 -0500 2021-02-26 M 416 $27.60 a 691 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:59:48 -0500 2021-02-18 S 361 $265.53 d 4,804 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:59:48 -0500 2021-02-18 S 73 $279.20 d 2,811 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:59:48 -0500 2021-02-18 S 48 $274.63 d 2,981 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:59:48 -0500 2021-02-18 S 110 $271.16 d 3,301 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:59:48 -0500 2021-02-18 S 268 $268.19 d 4,408 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:59:48 -0500 2021-02-18 S 80 $264.09 d 5,165 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:59:48 -0500 2021-02-18 S 65 $278.27 d 2,884 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:59:48 -0500 2021-02-18 S 67 $273.61 d 3,029 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:59:48 -0500 2021-02-18 S 319 $269.94 d 3,411 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:59:48 -0500 2021-02-18 S 128 $266.68 d 4,676 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:59:48 -0500 2021-02-18 S 32 $276.23 d 2,949 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:59:48 -0500 2021-02-18 S 205 $272.43 d 3,096 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:59:48 -0500 2021-02-18 S 678 $269.23 d 3,730 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 M 619 $27.00 a 3,430 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 M 3,124 d 71,876 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 M 619 d 2,480 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 M 4,819 $5.95 a 7,630 direct

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 S 413 $291.57 d 2,890 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 S 147 $287.41 d 3,437 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 S 1,204 $284.25 d 3,791 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 S 522 $281.64 d 6,603 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 S 377 $277.09 d 7,517 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 S 137 $273.40 d 8,248 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 M 1,101 $46.00 a 5,399 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 M 1,101 d 17,423 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 F 2,275 $262.70 d 5,245 direct

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 S 66 $296.59 d 2,811 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 S 125 $289.89 d 3,303 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 S 148 $286.26 d 3,584 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 S 955 $283.43 d 4,995 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 S 156 $280.71 d 7,125 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 S 129 $275.83 d 7,894 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 S 138 $272.42 d 8,385 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 M 868 $27.60 a 4,298 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 M 4,819 d 61,281 direct

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 M 868 d 7,473 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 D 110 $262.70 d 7,520 direct

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 S 13 $294.05 d 2,877 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 S 9 $288.80 d 3,428 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 S 59 $285.30 d 3,732 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 S 653 $282.13 d 5,950 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 S 236 $278.98 d 7,281 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 S 225 $274.80 d 8,023 direct yes

GLENN GREGORY M - Officer PRESIDENT, R&D

2021-02-18 18:55:25 -0500 2021-02-16 M 3,124 $5.95 a 8,523 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-09 S 194 $324.50 d 287 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 M 521 d 11,986 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 F 182 $290.18 d 481 direct

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 S 25 $298.80 d 287 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 S 238 $296.01 d 446 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 S 272 $292.91 d 1,714 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 S 55 $289.45 d 2,160 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 S 1,020 $283.50 d 2,270 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 M 521 $46.00 a 1,225 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 M 384 d 12,267 direct

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 M 417 d 4,592 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 D 8 $290.18 d 663 direct

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 S 30 $297.82 d 312 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 S 625 $295.05 d 684 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 S 117 $291.79 d 1,986 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 S 30 $287.03 d 2,215 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 S 19 $282.00 d 3,290 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 M 417 $27.60 a 704 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 M 2,084 d 66,667 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 M 384 $5.95 a 671 direct

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 S 104 $296.96 d 342 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 S 405 $293.96 d 1,309 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 S 57 $290.86 d 2,103 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 S 25 $284.82 d 2,245 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-02-09 19:40:44 -0500 2021-02-05 M 2,084 $5.95 a 3,309 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-02-03 17:37:20 -0500 2021-02-01 S 2,200 $242.20 d 4,029 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-02-03 17:37:20 -0500 2021-02-01 S 1,443 $239.04 d 13,854 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-02-03 17:37:20 -0500 2021-02-01 M 2,085 $27.60 a 4,968 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-02-03 17:37:20 -0500 2021-02-01 M 2,080 d 9,591 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-02-03 17:37:20 -0500 2021-02-01 M 394 d 0 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-02-03 17:37:20 -0500 2021-02-01 S 3,331 $241.51 d 6,229 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-02-03 17:37:20 -0500 2021-02-01 M 8,249 $5.95 a 15,297 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-02-03 17:37:20 -0500 2021-02-01 M 2,214 $27.00 a 2,883 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-02-03 17:37:20 -0500 2021-02-01 M 2,085 d 4,592 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-02-03 17:37:20 -0500 2021-02-01 S 3,754 $243.25 d 275 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-02-03 17:37:20 -0500 2021-02-01 S 4,294 $240.43 d 9,560 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-02-03 17:37:20 -0500 2021-02-01 M 2,080 $46.00 a 7,048 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-02-03 17:37:20 -0500 2021-02-01 M 394 $27.00 a 669 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-02-03 17:37:20 -0500 2021-02-01 M 8,249 d 66,001 direct yes

HERRMANN JOHN A III - Officer EVP, CHIEF LEGAL OFFICER

2021-02-03 17:37:20 -0500 2021-02-01 M 2,214 d 0 direct yes

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-01-27 18:10:38 -0500 2021-01-25 S 73 $128.60 d 287 direct

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-01-27 17:57:43 -0500 2021-01-25 D 73 $128.60 d 287 direct yes

TRIZZINO JOHN - Officer EVP, CMO AND CBO

2021-01-07 19:08:04 -0500 2021-01-07 S 506 $124.17 d 287 direct yes -4.411 4.5751 99.6061 162.5498 21 -4.411 2

TRIZZINO JOHN - Officer EVP, CMO AND CBO

2021-01-07 19:08:04 -0500 2021-01-05 M 394 $27.00 a 5,481 direct yes -4.411 4.5751 99.6061 162.5498 21 -4.411 2

TRIZZINO JOHN - Officer EVP, CMO AND CBO

2021-01-07 19:08:04 -0500 2021-01-05 M 1,149 d 12,651 direct

TRIZZINO JOHN - Officer EVP, CMO AND CBO

2021-01-07 19:08:04 -0500 2021-01-05 M 1,668 d 5,009 direct yes

TRIZZINO JOHN - Officer EVP, CMO AND CBO

2021-01-07 19:08:04 -0500 2021-01-05 M 1,149 $5.95 a 1,436 direct -4.411 4.5751 99.6061 162.5498 21 -4.411 2

TRIZZINO JOHN - Officer EVP, CMO AND CBO

2021-01-07 19:08:04 -0500 2021-01-05 S 3,500 $113.29 d 2,136 direct yes -4.411 4.5751 99.6061 162.5498 21 -4.411 2

TRIZZINO JOHN - Officer EVP, CMO AND CBO

2021-01-07 19:08:04 -0500 2021-01-05 S 3,700 $110.25 d 13,994 direct yes -4.411 4.5751 99.6061 162.5498 21 -4.411 2

TRIZZINO JOHN - Officer EVP, CMO AND CBO

2021-01-07 19:08:04 -0500 2021-01-05 M 1,668 $27.60 a 9,363 direct yes -4.411 4.5751 99.6061 162.5498 21 -4.411 2

TRIZZINO JOHN - Officer EVP, CMO AND CBO

2021-01-07 19:08:04 -0500 2021-01-05 M 6,249 d 68,751 direct yes

TRIZZINO JOHN - Officer EVP, CMO AND CBO

2021-01-07 19:08:04 -0500 2021-01-05 M 2,214 d 0 direct yes

TRIZZINO JOHN - Officer EVP, CMO AND CBO

2021-01-07 19:08:04 -0500 2021-01-05 F 584 $116.24 d 793 direct -4.411 4.5751 99.6061 162.5498 21 -4.411 2

TRIZZINO JOHN - Officer EVP, CMO AND CBO

2021-01-07 19:08:04 -0500 2021-01-05 S 349 $115.11 d 287 direct yes -4.411 4.5751 99.6061 162.5498 21 -4.411 2

TRIZZINO JOHN - Officer EVP, CMO AND CBO

2021-01-07 19:08:04 -0500 2021-01-05 S 4,194 $112.19 d 5,636 direct yes -4.411 4.5751 99.6061 162.5498 21 -4.411 2

TRIZZINO JOHN - Officer EVP, CMO AND CBO

2021-01-07 19:08:04 -0500 2021-01-05 M 6,249 $5.95 a 17,694 direct yes -4.411 4.5751 99.6061 162.5498 21 -4.411 2

TRIZZINO JOHN - Officer EVP, CMO AND CBO

2021-01-07 19:08:04 -0500 2021-01-05 M 2,214 $27.00 a 7,695 direct yes -4.411 4.5751 99.6061 162.5498 21 -4.411 2

TRIZZINO JOHN - Officer EVP, CHIEF COMMERCIAL OFFICER

2021-01-27 17:55:52 -0500 2021-01-05 F 511 $116.24 d 866 direct

TRIZZINO JOHN - Officer EVP, CMO AND CBO

2021-01-07 19:08:04 -0500 2021-01-05 M 2,082 d 12,507 direct yes

TRIZZINO JOHN - Officer EVP, CMO AND CBO

2021-01-07 19:08:04 -0500 2021-01-05 M 394 d 0 direct yes

TRIZZINO JOHN - Officer EVP, CMO AND CBO

2021-01-07 19:08:04 -0500 2021-01-05 D 59 $116.24 d 1,377 direct -4.411 4.5751 99.6061 162.5498 21 -4.411 2

TRIZZINO JOHN - Officer EVP, CMO AND CBO

2021-01-07 19:08:04 -0500 2021-01-05 S 1,500 $114.25 d 636 direct yes -4.411 4.5751 99.6061 162.5498 21 -4.411 2

TRIZZINO JOHN - Officer EVP, CMO AND CBO

2021-01-07 19:08:04 -0500 2021-01-05 S 4,164 $111.19 d 9,830 direct yes -4.411 4.5751 99.6061 162.5498 21 -4.411 2

TRIZZINO JOHN - Officer EVP, CMO AND CBO

2021-01-07 19:08:04 -0500 2021-01-05 M 2,082 $46.00 a 11,445 direct yes -4.411 4.5751 99.6061 162.5498 21 -4.411 2

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available
NOVAVAX INC NVAX 2021-03-05 22:15:03 UTC -0.18 0.25 1100000
NOVAVAX INC NVAX 2021-03-05 21:45:03 UTC -0.18 0.25 1100000
NOVAVAX INC NVAX 2021-03-05 21:15:02 UTC -0.18 0.25 1100000
NOVAVAX INC NVAX 2021-03-05 20:45:02 UTC -0.18 0.25 1100000
NOVAVAX INC NVAX 2021-03-05 20:15:05 UTC -0.18 0.25 1100000
NOVAVAX INC NVAX 2021-03-05 19:45:03 UTC -0.18 0.25 1100000
NOVAVAX INC NVAX 2021-03-05 19:15:03 UTC -0.18 0.25 1100000
NOVAVAX INC NVAX 2021-03-05 18:45:03 UTC -0.18 0.25 1100000
NOVAVAX INC NVAX 2021-03-05 18:15:03 UTC -0.18 0.25 1100000
NOVAVAX INC NVAX 2021-03-05 17:45:03 UTC -0.18 0.25 1100000
NOVAVAX INC NVAX 2021-03-05 17:15:03 UTC -0.18 0.25 1100000
NOVAVAX INC NVAX 2021-03-05 16:45:03 UTC -0.18 0.25 1100000
NOVAVAX INC NVAX 2021-03-05 16:15:02 UTC -0.18 0.25 1100000
NOVAVAX INC NVAX 2021-03-05 15:45:03 UTC -0.18 0.25 1100000
NOVAVAX INC NVAX 2021-03-05 15:15:03 UTC -0.18 0.25 1100000
NOVAVAX INC NVAX 2021-03-05 14:45:03 UTC -0.1909 0.2609 1100000
NOVAVAX INC NVAX 2021-03-05 14:15:03 UTC -0.1909 0.2609 1100000
NOVAVAX INC NVAX 2021-03-05 13:45:03 UTC -0.1909 0.2609 1100000
NOVAVAX INC NVAX 2021-03-05 13:15:03 UTC -0.1909 0.2609 1100000
NOVAVAX INC NVAX 2021-03-05 12:45:03 UTC -0.1909 0.2609 1100000

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin
FundVantage Trust- Gotham Hedged Plus Fund NVAX -450.0 shares, $-50179.5 2020-12-31 N-PORT
Morningstar Funds Trust- Morningstar Alternatives Fund NVAX -988.0 shares, $-79741.48 2020-10-30 N-PORT
AMERICAN BEACON FUNDS- American Beacon SSI Alternative Income Fund NVAX -1696.0 shares, $-189120.96 2020-12-31 N-PORT
Blackstone Alternative Investment Funds- Blackstone Alternative Multi-Strategy Fund NVAX -19700.0 shares, $-2196747.0 2020-12-31 N-PORT

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