LADENBURG THALMANN FINANCIAL SERVICES INC.

Holdings History for NOVAVAX INC - Common Stock (NVAX)

Symbol: NVAX on Nasdaq
Investment type: Equity / Common Stock

Shares, Excluding Options vs Price

Value, Excluding Options

Holdings date	Weight	Change	Value $	Shares	Change	Activity %	Price	All Holders
31 Dec 2019	0%	+0%	$173,000	43,155	+11,675	+37%	$4.01	Q4 2019
30 Sep 2019		0%	$2,000	255	0		$7.84 ^*	Q3 2019
30 Sep 2019	0%	+0%	$158,000	31,480	+12,245	+64%	$5.02	Q3 2019
30 Jun 2019		0%	$1,000	100	0		$10.00 ^*	Q2 2019
30 Jun 2019	0%	+0%	$113,000	19,235	+19,235	NEW	$5.87	Q2 2019

* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.