UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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SCHEDULE 13G
Under the Securities Exchange Act of 1934
(AMENDMENT NO. 1)*
Novavax, Inc.
(NAME OF ISSUER)
Common Stock
(TITLE OF CLASS OF SECURITIES)
670002104
(CUSIP NUMBER)
12/31/2009
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[X] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which
would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
CUSIP NO. 670002104
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1 NAME OF REPORTING PERSON
Hartford Series Fund, Inc. on behalf of:
Hartford Capital Appreciation HLS Fund
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
22-2481744
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)
(a) [ ]
(b) [ ]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
Maryland
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5 SOLE VOTING POWER
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NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY 6,775,790
OWNED BY -----------------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON WITH: -----------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
6,775,790
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,775,790
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see
instructions)
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.72%
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12 TYPE OF REPORTING PERSON (see instructions)
IV
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CUSIP NO. 670002104
Item 1(a). Name of Issuer:
Novavax, Inc.
Item 1(b). Address of Issuer's Principal Executive Offices:
9920 Belward Campus Drive
Rockville, MD 20850
Item 2(a). Name of Person(s) Filing:
Hartford Series Fund, Inc. on behalf of:
Hartford Capital Appreciation HLS Fund
Item 2(b). Address of Principal Business Office or; if none, residence:
500 Bielenberg Drive
Woodbury, MN 55125-1400
Item 2(c). Citizenship:
Maryland
Item 2(d). Title of Class of Securities:
Common Stock
Item 2(e). CUSIP Number:
670002104
Item 3. If this statement is filed pursuant to Sections 240.13d-1(b) or
240.13d-2(b) or (c), check whether the person filing is a:
(a) [ ] Broker or Dealer registered under Section 15 of the Act (15
U.S.C. 78o).
(b) [ ] Bank as defined in Section 3(a)(6) of the Act (15 U.S.C.
78c).
(c) [ ] Insurance Company as defined in Section 3(a) (19) of the Act
(15 U.S.C. 78c).
(d) [X] Investment Company registered under Section 8 of the
Investment Company Act of 1940 (15 U.S.C. 80a-8).
Page 3 of 5
CUSIP NO. 670002104
(e) [ ] An investment adviser in accordance with Section
240.13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in accordance with
Section 240.13d-1(b)(1)(ii)(F);
(g) [ ] A parent holding company or control person in accordance with
Section 240.13d-1(b)(1)(ii)(G);
(h) [ ] A savings association as defined in Section 3(b) of the
Federal Deposit Insurance Act (12 U.S.C. 1813);
(i) [ ] A church plan that is excluded from the definition of an
investment company under Section 3(c)(14) of the Investment
Company Act of 1940 (15 U.S.C. 80a-3);
(j) [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(J).
Item 4. Ownership:
Provide the following information regarding the aggregate number and
percentage of the class of securities of the issuer identified in Item
1.
(a) Amount Beneficially Owned 6,775,790
(b) Percent of Class 6.72%
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote
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(ii) shared power to vote or to direct the vote
6,775,790
(iii) sole power to dispose or to direct the disposition of
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(iv) shared power to dispose or to direct the disposition of
6,775,790
Page 4 of 5
CUSIP NO. 670002104
Item 5. Ownership of Five Percent or Less of a Class:
If this statement is being filed to report the fact that as of the
date hereof the reporting person has ceased to be the beneficial owner
of more than five percent of the class of securities, check the
following: [ ]
Item 6. Ownership of More than Five Percent on behalf of Another Person: N/A
Item 7. Identification and Classification of the Subsidiary which Acquired the
Security being Reported on by the Parent Holding Company: N/A
Item 8. Identification and Classification of Members of the Group: N/A
Item 9. Notice of Dissolution of Group: N/A
Item 10. Certification:
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired and are held in the
ordinary course of business and were not acquired and are not held for the
purpose of or with the effect of changing or influencing the control of the
issuer of the securities and were not acquired and are not held in connection
with or as a participant in any transaction having that purpose or effect.
Signature
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
DATE: February 3, 2010
Hartford Series Fund, Inc. on behalf of:
Hartford Capital Appreciation HLS Fund
BY: /s/ Thomas D. Jones, III
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Thomas D. Jones, III
Vice President and Chief Compliance
Officer
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