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Previous: SMITH BARNEY CONCERT SERIES INC, NSAR-B, 2000-04-05 |
Next: WALT DISNEY CO/, 424B3, 2000-04-05 |
<PAGE>
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 4
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
( ) Check this box if no longer subject to Section 16. Form
4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person
Mitchell J. Kelly
c/o Anaconda Capital Management, LLC
730 Fifth Avenue, 15th Floor
New York, New York 10019
2. Issuer Name and Ticker or Trading Symbol
Novavax, Inc. (NOX)
3. IRS Number of Reporting Person (Voluntary)
4. Statement for Month/Year
3/00
5. If Amendment, Date of Original (Month/Year)
6. Relationship of Reporting Person(s)to Issuer (Check all
applicable)
(X) Director (X) 10% Owner ( ) Officer (give title
below) ( ) Other (specify below)
Chief Executive Officer
7. Individual or Joint/Group Filing (check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
<PAGE>
<TABLE>
<CAPTION>
TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED,
DISPOSED OF, OR BENEFICIALLY OWNED
<S> <C> <C> <C> <C> <C> <C>
1. Title of Security| 2. Transaction| 3. Transaction| 4. Securities | 5. Amount of | 6. Ownership |7. Nature of |
(Instr. 3) | Date | Code | Acquired (A) | Securities | Form: | Indirect |
| | (Instr. 8) | or Disposed | Beneficially | Direct (D) | Beneficial|
| (Month/ | | of (D) | Owned at End | or Indirect| Ownership |
| Day/ | | (Instr. 3,4, | of Month | (I) | (Instr. 4)|
| Year) | | and 5) | (Instr. 3 and 4)| (Instr. 4) | |
| | | | |(A) or| | | | |
| | Code | V | Amount|(D) |Price| | | |
_________________________________________________________________________________________________________________________________
Common Stock 3/13/97 P 1,200,000 (A)$4.25 (I) (4)
Common Stock 4/14/99 P 220,000 (A)$2.50 (I) (4)
Common Stock 12/23/99 A 19,139 (A)$0 (D)
Common Stock 3/10/00 M 659,090 (A)$5.46 (I) (4)
Common Stock 3/10/00 M 193,680 (A)$0 2,314,809 (I) (4)
- ---------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<TABLE>
<CAPTION>
TABLE II -- DERIVATIVE SECURITIES ACQUIRED,
DISPOSED OF, OR BENEFICIALLY OWNED
<S> <C> <C> <C> <C> <C> <C>
1. Title of | 2. Conver- | 3. Trans- | 4. Trans- | 5. Number of | 6. Date Exer- | 7. Title and Amount |
Derivative | sion or | action | action | Derivative | cisable and | of Underlying |
Security | Exercise | Date | Code | Securities | Expiration | Securities |
(Instr. 3) | Price of | (Month/ | (Instr. | Acquired | Date | (Instr. 3 and 4) |
| Deri- | Date/ | 8) | (A) or | (Month/Day/ | |
| vative | Year) | | Disposed of | Year) | |
| Security | | | (D) (Instr. | | |
| | | | 3, 4 and 5) | | |
| | |____________|_________________|___________________|_____________________|
| | | | | | | | | | |
| | | | | | | Date | Expira- | | Amount or |
| | | | | | | Exer- | tion | | Number of |
| | | Code | V | (A) | (D) | cisable | Date | Title | Shares |
___________________|_____________|____________|______|_____|________|________|_________|_________|________|____________|
| | | | | | | | | | |
l l l l l l l l l l l
Options $5.00 12/31/97 A 10,000 currently 12/31/07 Common 10,000
Stock
Options $1.94 12/31/98 A 10,000 currently 12/31/08 Common 10,000
<PAGE>
Stock
Options $3.625 8/17/99 A 30,000 currently 8/17/09 Common 30,000
Stock
Options $5.625 12/31/99 A 10,000 7/01/00 12/31/09 Common 10,000
Stock
Warrants $6.00 3/13/97 P 600,000 currently 3/12/00 Common 600,000
Stock
Warrants $8.00 3/13/97 P 600,000 currently 3/12/00 Common 600,000
Stock
Warrants $3.75 4/14/99 P 55,000 currently 4/14/02 Common 55,000
Stock
Warrants $5.78 4/14/99 J(1) 22,905 currently 3/12/00 Common 22,905
Stock
Warrants $7.70 4/14/99 J(1) 22,905 currently 3/12/00 Common 22,905
Stock
Warrants $5.46 2/02/00 J(1) 36,185 currently 3/12/00 Common 36,185
Stock
Warrants $7.28 2/02/00 J(1) 36,185 currently 3/12/00 Common 36,185
Stock
Warrants $3.544 2/02/00 J(1) 3,192 currently 4/14/02 Common 3,192
Stock
Warrants 3/10/00 M 659,090 Common 659,090
Stock
Warrants 3/10/00 M(2) 659,090 Common 193,680(3)
Stock
</TABLE>
<TABLE>
<S> <C> <C> <C>
| 8. Price of | 9. Number of | 10. Ownership | 11. Nature of |
| Derivative | derivative | Form of | Indirect |
| Security | Securities | Derivative | Beneficial |
| (Instr. 5) | Benefi- | Security | Ownership |
| | cially | Direct (D) | (Instr. 4) |
| | Owned at | or Indirect | |
| | End of | (I) (Instr. | |
| | Month | 4) | |
| | (Instr. 4) | | |
$0 (D)
<PAGE>
$0 (D)
$0 (D)
$0 80,000 (I) (4)
$0 (I) (4)
$0 (I) (4)
$0 (I) (4)
$0 (I) (4)
$0 (D)
$0 (I) (4)
$0 (I) (4)
$0 (I) (4)
$5.46 (I) (4)
58,192
</TABLE>
Explanation of Responses:
(1) Warrants amount adjusted per the Company's private
placement
(2) Cashless exercise
(3) Shares reduced due to Cashless exercise
(4) By limited partnership of which Mr. Kelly is the Managing
General Partner of the General Partner. Mr. Kelly
disclaims ownership except to the extent of his pecuniary
interest therein.
Signature of Reporting Person:
Mitchell J. Kelly
/s/ Mitchell J. Kelly
___________________________
Mitchell J. Kelly
Date: April 3, 2000
** Intentional misstatements or omissions of facts constitute
Federal Criminal Violations. See U.S.C. 1001 and 15 U.S.C.
78ff(a).
Note: File three copies of this Form, one of which must be
manually signed. If space is sufficient, see Instruction 6 for
procedure.
01474003.AC2
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