Current Report Filing (8-k)
12 January 2021 - 12:17AM
Edgar (US Regulatory)
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2021-01-11
2021-01-11
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event
reported): January 11, 2021
NOVAVAX, INC.
(Exact name of registrant as specified
in charter)
Delaware
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0-26770
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22-2816046
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(State or Other Jurisdiction
of Incorporation)
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(Commission File Number)
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(I.R.S. Employer
Identification No.)
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21 Firstfield Road
Gaithersburg, Maryland 20878
(Address of Principal Executive Offices,
including Zip Code)
(240) 268-2000
(Registrant’s telephone number,
including area code)
(Former name or former address, if changed
since last report.)
Securities registered pursuant to Section
12(b) of the Act:
Title of each class
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Trading
Symbol(s)
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Name of each exchange on which
registered
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Common Stock, Par Value $0.01 per share
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NVAX
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The Nasdaq Global Select Market
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Check the appropriate box below if the Form 8-K filing is intended
to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction
A.2. below):
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¨
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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¨
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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¨
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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¨
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Indicate by check mark whether the registrant
is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2
of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging
growth company ¨
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for
complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨
Item 7.01. Regulation FD Disclosure.
On January 11, 2021, Novavax, Inc. (the
“Company”) provided an update for investors at the 39th Annual J.P. Morgan Healthcare
Conference (Virtual) presenting information relating to NVX-CoV2373, the Company’s coronavirus vaccine candidate (the
“Investor Presentation”), which is attached as Exhibit 99.1 to this Current Report on Form 8-K and incorporated into
this Item 7.01 by reference. A copy of the Investor Presentation will also be accessible on the Company’s website at www.novavax.com
under “For Investors/Investor Presentation.”
The information in this Item 7.01, including
Exhibit 99.1, is being furnished and shall not be deemed to be “filed” for purposes of Section 18 of the Securities
Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that Section and shall not be deemed incorporated
by reference into any registration statement or other document filed pursuant to the Securities Act of 1933, as amended, or the
Securities Exchange Act of 1934, as amended, except as shall be expressly set forth by specific reference in such filing. In addition,
the contents of Company’s website are not incorporated by reference into this Current Report on Form 8-K and you should not
consider information provided on the Company’s website to be part of this Current Report on Form 8-K.
Cautionary Note Regarding Forward-Looking
Statements. The Investor Presentation contains forward-looking statements that involve certain risks and uncertainties
that could cause actual results to differ materially from those expressed or implied by these statements. Please refer to the cautionary
notes in the Investor Presentation regarding these forward-looking statements.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
SIGNATURES
Pursuant to the requirements
of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized.
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Novavax, Inc.
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Date: January 11, 2021
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By:
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/s/ John A. Herrmann III
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Name:
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John A. Herrmann III
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Title:
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Executive Vice President, Chief Legal Officer and Corporate Secretary
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