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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/28/23 Novavax Inc. S-3ASR 2/28/23 7:882K Toppan Merrill/FA |
Document/Exhibit Description Pages Size
1: S-3ASR Automatic Shelf Registration Statement by a HTML 317K
Well-Known Issuer
2: EX-4.5 Instrument Defining the Rights of Security Holders HTML 380K
3: EX-5.1 Opinion of Counsel re: Legality HTML 20K
4: EX-5.2 Opinion of Counsel re: Legality HTML 8K
5: EX-23.1 Consent of Expert or Counsel HTML 6K
6: EX-25.1 Statement of Eligibility to Act as a Trustee HTML 50K
7: EX-FILING FEES Exhibit 107 HTML 51K
Exhibit 25.1
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM T-1
STATEMENT OF ELIGIBILITY
UNDER THE TRUST INDENTURE ACT OF 1939 OF A
CORPORATION DESIGNATED TO ACT AS TRUSTEE
CHECK IF AN APPLICATION TO DETERMINE
ELIGIBILITY OF A TRUSTEE PURSUANT TO
SECTION 305(b)(2) ¨
THE BANK OF NEW YORK MELLON
TRUST COMPANY, N.A.
(Exact name of trustee as specified in its charter)
(Jurisdiction
of incorporation |
95-3571558
|
|
333 South Hope Street Los Angeles, California (Address of principal executive offices) |
90071
|
NOVAVAX, INC.
(Exact name of obligor as specified in its charter)
| Delaware (State or other jurisdiction of incorporation or organization) |
22-2816046
|
| 21 Firstfield Road Gaithersburg, Maryland (Address of principal executive offices) |
20878
|
Debt Securities
(Title of the indenture securities)
C:
| 1. | General information. Furnish the following information as to the trustee: |
| (a) | Name and address of each examining or supervising authority to which it is subject. |
| Name | Address |
|
Comptroller of the Currency
|
Washington, DC 20219 |
| Federal Reserve Bank |
|
| Federal Deposit Insurance Corporation | Washington, DC 20429 |
| (b) | Whether it is authorized to exercise corporate trust powers. |
Yes.
| 2. | Affiliations with Obligor. |
If the obligor is an affiliate of the trustee, describe each such affiliation.
None.
| 16. | List of Exhibits. |
Exhibits identified in parentheses below, on file with the Commission, are incorporated herein by reference as an exhibit hereto, pursuant to Rule 7a-29 under the Trust Indenture Act of 1939 (the "Act").
| 1. | A copy of the articles of association of The Bank of New York Mellon Trust Company, N.A., formerly known as The Bank of New York Trust Company, N.A. (Exhibit 1 to Form T-1 filed with Registration Statement No. 333-121948 and Exhibit 1 to Form T-1 filed with Registration Statement No. 333-152875). |
| 2. | A copy of certificate of authority of the trustee to commence business. (Exhibit 2 to Form T-1 filed with Registration Statement No. 333-121948). |
| 3. | A copy of the authorization of the trustee to exercise corporate trust powers (Exhibit 3 to Form T-1 filed with Registration Statement No. 333-152875). |
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| 4. | A copy of the existing by-laws of the trustee (Exhibit 4 to Form T-1 filed with Registration Statement No. 333-229762). |
| 6. | The consent of the trustee required by Section 321(b) of the Act (Exhibit 6 to Form T-1 filed with Registration Statement No. 333-152875). |
| 7. | A copy of the latest report of condition of the Trustee published pursuant to law or to the requirements of its supervising or examining authority. |
C:
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SIGNATURE
Pursuant to the requirements of the Act, the trustee, The Bank of New York Mellon Trust Company, N.A., a banking association organized and existing under the laws of the United States of America, has duly caused this statement of eligibility to be signed on its behalf by the undersigned, thereunto duly authorized, all in the City of Chicago, and State of Illinois, on the 23rd day of February, 2023.
| THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. | |||
| By: | /s/ Ann M. Dolezal | ||
| Name: | Ann M. Dolezal | ||
| Title: | Vice President | ||
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EXHIBIT 7
Consolidated Report of Condition of
THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A.
of 333 South Hope Street, Suite 2525, Los Angeles, CA 90071
At the close of business December 31, 2022, published in accordance with Federal regulatory authority instructions.
| Dollar amounts | ||||
| in thousands | ||||
| ASSETS | ||||
| Cash and balances due from depository institutions: | ||||
| Noninterest-bearing balances and currency and coin | 2,702 | |||
| Interest-bearing balances | 513,645 | |||
| Securities: | ||||
| Held-to-maturity securities | 0 | |||
| Available-for-sale debt securities | 515 | |||
| Equity securities with readily determinable fair values not held for trading | 0 | |||
| Federal funds sold and securities purchased under agreements to resell: | ||||
| Federal funds sold in domestic offices | 0 | |||
| Securities purchased under agreements to resell | 0 | |||
| Loans and lease financing receivables: | ||||
| Loans and leases held for sale | 0 | |||
| Loans and leases, held for investment | 0 | |||
| LESS: Allowance for loan and lease losses | 0 | |||
| Loans and leases held for investment, net of allowance | 0 | |||
| Trading assets | 0 | |||
| Premises and fixed assets (including capitalized leases) | 15,427 | |||
| Other real estate owned | 0 | |||
| Investments in unconsolidated subsidiaries and associated companies | 0 | |||
| Direct and indirect investments in real estate ventures | 0 | |||
| Intangible assets | 856,313 | |||
| Other assets | 114,156 | |||
| Total assets | $ | 1,502,758 | ||
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| LIABILITIES | ||||
| Deposits: | ||||
| In domestic offices | 2,093 | |||
| Noninterest-bearing | 2,093 | |||
| Interest-bearing | 0 | |||
| Federal funds purchased and securities sold under agreements to repurchase: | ||||
| Federal funds purchased in domestic offices | 0 | |||
| Securities sold under agreements to repurchase | 0 | |||
| Trading liabilities | 0 | |||
| Other borrowed money: | ||||
| (includes mortgage indebtedness and obligations under capitalized leases) | 0 | |||
| Not applicable | ||||
| Not applicable | ||||
| Subordinated notes and debentures | 0 | |||
| Other liabilities | 268,858 | |||
| Total liabilities | 270,951 | |||
| Not applicable | ||||
| EQUITY CAPITAL | ||||
| Perpetual preferred stock and related surplus | 0 | |||
| Common stock | 1,000 | |||
| Surplus (exclude all surplus related to preferred stock) | 325,668 | |||
| Not available | ||||
| Retained earnings | 905,147 | |||
| Accumulated other comprehensive income | -8 | |||
| Other equity capital components | 0 | |||
| Not available | ||||
| Total bank equity capital | 1,231,807 | |||
| Noncontrolling (minority) interests in consolidated subsidiaries | 0 | |||
| Total equity capital | 1,231,807 | |||
| Total liabilities and equity capital | 1,502,758 | |||
I, Matthew J. McNulty, CFO of the above-named bank do hereby declare that the Reports of Condition and Income (including the supporting schedules) for this report date have been prepared in conformance with the instructions issued by the appropriate Federal regulatory authority and are true to the best of my knowledge and belief.
Matthew J. McNulty ) CFO
We, the undersigned directors (trustees), attest to the correctness of the Report of Condition (including the supporting schedules) for this report date and declare that it has been examined by us and to the best of our knowledge and belief has been prepared in conformance with the instructions issued by the appropriate Federal regulatory authority and is true and correct.
| Antonio I. Portuondo, President | ) | ||
| Loretta A. Lundberg, Managing Director | ) | Directors (Trustees) | |
| Jon M. Pocchia, Managing Director | ) |
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| This ‘S-3ASR’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on / Effective on: | 2/28/23 | 10-K, 8-K | ||
| 12/31/22 | 10-K | |||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/28/23 Novavax Inc. 10-K 12/31/22 108:16M 1/09/23 Novavax Inc. 8-K:5,7,9 1/05/23 14:435K Toppan Merrill/FA 5/02/22 Novavax Inc. DEF 14A 6/16/21 1:7.2M Toppan Merrill/FA 3/01/22 Novavax Inc. 10-K 12/31/21 111:22M 6/24/21 Novavax Inc. 8-K:5,9 6/17/21 11:329K Toppan Merrill/FA 6/15/21 Novavax Inc. 8-K:8,9 6/15/21 12:445K Toppan Merrill/FA 6/15/21 Novavax Inc. 424B5 1:203K Toppan Merrill/FA 3/11/20 Novavax Inc. S-3ASR 3/11/20 3:207K Toppan Merrill/FA 12/31/19 Novavax Inc. S-3 4:1.3M Toppan Merrill/FA 5/09/19 Novavax Inc. 8-K:5,9 5/08/19 2:32K Toppan Merrill/FA 8/10/15 Novavax Inc. 10-Q 6/30/15 60:4.9M Toppan Merrill/FA |