Amended Statement of Changes in Beneficial Ownership (4/a)
September 04 2020 - 6:31PM
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
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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EVANS GARY C |
2. Issuer Name and Ticker or Trading Symbol
NOVAVAX INC
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NVAX
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O NOVAVAX, INC., 21 FIRSTFIELD ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/18/2020 |
(Street)
GAITHERSBURG, MD 20878
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
8/20/2020 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | | | | | | | | 16099 (1) | D | |
Common Stock | | | | | | | | 625 (1)(2) | I | By Evans 1997 Trust |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. 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 Date | 7. 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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | This amendment to the original Form 4 filed on August 20, 2020 is being filed to correct the amounts of securities beneficially owned by the reporting person to reflect the 1-for-20 reverse stock split of Novavax, Inc. on May 10, 2019. The amounts of securities beneficially owned by the reporting person reported in Column 5 of Table I of the original Form 4 were inadvertently reported on a pre-split basis. The amounts shown in Column 5 of Table I of this amendment reflect the amounts that should have been reported in Column 5 of Table I of the original Form 4 following all transactions reported therein, after taking into account the reverse stock split. |
(2) | The reporting person no longer has a reportable beneficial interest in shares previously reported as owned of record by Gary Evans Custodian for Dustin Evans UTMA/TX or shares previously reported as owned of record by Gary Evans Custodian for Casey Evans UTMA/TX. The reporting person indirectly beneficially owns 625 shares held by Evans 1997 Trust since 1997, which were inadvertently omitted from previous filings. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
EVANS GARY C C/O NOVAVAX, INC. 21 FIRSTFIELD ROAD GAITHERSBURG, MD 20878 | X |
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Signatures
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/s/ John A. Herrmann III, Attorney-in-Fact | | 9/4/2020 |
**Signature of Reporting Person | Date |
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