SEC Filings

SEC Filings

Form 10-K
NOVAVAX INC filed this Form 10-K on 02/27/2017
Document Outline
Entire Document (4464.5 KB)
Subdocument 1 - 10-K - FORM 10-K
Page 1 - UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Page 2 - NOVAVAX, INC.
Page 3 - CERTAIN DEFINITIONS
Page 4 - PART I
Page 5 - Respiratory Syncytial Virus
Page 6 - Phase 2 Safety and Immunogenicity Trial (Completed)
Page 7 - Clinical Trial Update
Page 8 - Phase 2 Trial in Older Adults (Completed)
Page 9 - ZIKV EnvD Vaccine
Page 10 - Combination Respiratory Vaccine
Page 11 - Competition in RSV, EBOV, ZIKV, Influenza and Other Vaccines
Page 12 - Patents and Proprietary Rights
Page 13 - Trade Secrets.
Page 14 - Government Regulations
Page 15 - Manufacturing
Page 16 - Business Development
Page 17 - RISKS RELATED TO OUR BUSINESS AND INDUSTRY
Page 18 - Economic uncertainty may adversely affect our access to capital, cost of capital and ability to exec
Page 19 - Current or future regional relationships may hinder our ability to engage in larger transactions.
Page 20 - N/A
Page 21 - If we are unable to attract or retain key management or other personnel, our business, operating res
Page 22 - We may not be able to win government, academic institution or non-profit contracts or grants.
Page 23 - Litigation could have a material adverse impact on our results of operation and financial condition.
Page 24 - If we are unable to manufacture our vaccines in sufficient quantities, at sufficient yields or are u
Page 25 - We must identify vaccines for development with our technologies and establish successful third-party
Page 26 - Because we depend on third-parties to conduct some of our laboratory testing, clinical trials, and m
Page 27 - Our vaccine candidates may never achieve market acceptance even if we obtain regulatory approvals.
Page 28 - REGULATORY RISKS
Page 29 - Even if regulatory approval is received for our vaccine candidates, the later discovery of previousl
Page 30 - Even if we successfully commercialize any of our vaccine candidates, either alone or in collaboratio
Page 31 - Third parties may claim we infringe their intellectual property rights.
Page 32 - We may need to license intellectual property from third-parties and, if our right to use the intelle
Page 33 - Risks Related to OUR Convertible SENIOR Notes
Page 34 - Provisions of our Certificate of Incorporation and By-laws and Delaware law could delay or prevent t
Page 35 - N/A
Page 36 - PART II
Page 37 - N/A
Page 38 - N/A
Page 39 - Overview
Page 40 - Product Pipeline
Page 41 - RSV Infants via Maternal Immunization Program
Page 42 - Phase 2 Safety and Immunogenicty Trial (Completed)
Page 43 - Resolve Phase 3 Trial (Completed)
Page 44 - RSV Pediatrics Program
Page 45 - ZIKV EnvD Vaccine
Page 46 - CPLB Joint Venture (India)
Page 47 - Revenue
Page 48 - Marketable Securities
Page 49 - Impairments of Long-Lived Assets
Page 50 - Revenue from Contracts with Customers (Topic 606)
Page 51 - Revenue:
Page 52 - Expenses by Functional Area
Page 53 - Other Income (Expense):
Page 54 - N/A
Page 55 - Contractual Obligations
Page 56 - Off-Balance Sheet Arrangements
Page 57 - Management s Report on Internal Control over Financial Reporting
Page 58 - Equity Compensation Plan Information
Page 59 - N/A
Page 60 - N/A
Page 61 - N/A
Page 62 - N/A
Page 63 - N/A
Page 64 - SIGNATURES
Page 65 - INDEX TO FINANCIAL STATEMENTS
Page 66 - Report of
Page 67 - Report of
Page 68 - NOVAVAX, INC.
Page 69 - NOVAVAX, INC.
Page 70 - NOVAVAX, INC.
Page 71 - NOVAVAX, INC.
Page 72 - NOVAVAX, INC.
Page 73 - Note 3 Summary of Significant Accounting Policies
Page 74 - Fair Value Measurements
Page 75 - Other Intangible Assets
Page 76 - Stock-Based Compensation
Page 77 - Research and Development Expenses
Page 78 - Segment Information
Page 79 - Intangibles-Goodwill and Other (Topic 350)
Page 80 - Note 5 Marketable Securities
Page 81 - Identifiable Intangible Assets
Page 82 - HHS BARDA Contract for Recombinant Influenza Vaccines
Page 83 - Accrued Expenses
Page 84 - Note 10 Stockholders Equity
Page 85 - Note 11 Stock-Based Compensation
Page 86 - Employee Stock Purchase Plan
Page 87 - Note 12 Employee Benefits
Page 88 - N/A
Page 89 - Note 14 Commitments and Contingencies
Page 90 - Contingencies
Page 91 - Note 16 Quarterly Financial Information (Unaudited)
Subdocument 2 - EX-10.9 - EXHIBIT 10.9
Page 1 - Exhibit 10.9
Page 2 - Option Vesting, Exercise and Expiration
Page 3 - Treatment of the Option upon Cessation of Service
Page 4 - Taxes
Page 5 - Rights as a Stockholder
Subdocument 3 - EX-10.18 - EXHIBIT 10.18
Page 1 - Novavax, Inc. Change in Control Severance Benefit Plan
Page 2 - (b)
Page 3 - (ii)
Page 4 - (d)
Page 5 - (b) Term of Plan; Amendment or Termination.
Page 6 - (d)
Page 7 - (ii)
Page 8 - (p)
Page 9 - (c)
Page 10 - (iii)
Page 11 - (d)
Page 12 - N/A
Page 13 - N/A
Page 14 - N/A
Subdocument 4 - EX-10.36 - EXHIBIT 10.36
Page 1 - Exhibit 10.36
Page 2 - EDGAR
Page 3 - Exchange
Page 4 - DWAC
Page 5 - No Misstatement or Omission
Page 6 - Material Adverse Effect
Page 7 - Stock Options
Page 8 - No Conflicts.
Page 9 - Independent Accountants.
Page 10 - No Undisclosed Relationships.
Page 11 - Clinical Trials.
Page 12 - Disclosure Controls.
Page 13 - Insurance
Page 14 - OFAC
Page 15 - Sarbanes-Oxley Act
Page 16 - Notice of Commission Stop Orders.
Page 17 - Listing of Placement Shares.
Page 18 - Use of Proceeds
Page 19 - Representation Date
Page 20 - Market Activities
Page 21 - Registration Statement Effective
Page 22 - Legal Opinion
Page 23 - Company Affiliate
Page 24 - Contribution
Page 25 - Termination
Page 26 - Notices
Page 27 - Electronic Notice
Page 28 - Applicable Law; Consent to Jurisdiction
Page 29 - N/A
Page 30 - SCHEDULE 1
Page 31 - SCHEDULE 2
Page 32 - SCHEDULE 3
Page 33 - SCHEDULE 4
Page 34 - Form of Representation Date Certificate
Page 35 - N/A
Subdocument 5 - EX-21 - EXHIBIT 21
Page 1 - Exhibit 21
Subdocument 6 - EX-23.1 - EXHIBIT 23.1
Page 1 - Exhibit 23.1
Subdocument 7 - EX-31.1 - EXHIBIT 31.1
Page 1 - Exhibit 31.1
Page 2 - N/A
Subdocument 8 - EX-31.2 - EXHIBIT 31.2
Page 1 - Exhibit 31.2
Page 2 - N/A
Subdocument 9 - EX-32.1 - EXHIBIT 32.1
Page 1 - Exhibit 32.1
Subdocument 10 - EX-32.2 - EXHIBIT 32.2
Page 1 - Exhibit 32.2
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