Hoge Stephen's Form 4 filing
Moderna, Inc. (MRNA) · filed Nov 26, 2021
- Accession no.
- 0000899243-21-046142
- Filed
- Nov 26, 2021
- Trade date
- Jan 24-Nov 24, 2021
- Filing delay
- 306 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 13 non-derivative transactions and 3 derivative transactions. Open-market sales total $5.50M. It was filed 306 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Hoge StephenCIK 0001760669 | Officer (President) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 23, 2021 | Common Stock | MOption exerciseAcquired | +5,000 | $10.90 | +$54,500 | 1,614,597 | Direct | |
| Nov 23, 2021 | Common Stock | MOption exerciseAcquired | +10,000 | $0.99 | +$9,900 | 1,624,597 | Direct | |
| Nov 23, 2021 | Common Stock | SSaleDisposed | −196 | $270.19F2 | −$52,957.24 | 1,624,401 | Direct | |
| Nov 23, 2021 | Common Stock | SSaleDisposed | −1,600 | $271.84F3 | −$434,944 | 1,622,801 | Direct | |
| Nov 23, 2021 | Common Stock | SSaleDisposed | −1,368 | $273.10F4 | −$373,600.8 | 1,621,433 | Direct | |
| Nov 23, 2021 | Common Stock | SSaleDisposed | −1,863 | $274.19F5 | −$510,815.97 | 1,619,570 | Direct | |
| Nov 23, 2021 | Common Stock | SSaleDisposed | −1,977 | $275.22F6 | −$544,109.94 | 1,617,593 | Direct | |
| Nov 23, 2021 | Common Stock | SSaleDisposed | −2,096 | $276.32F7 | −$579,166.72 | 1,615,497 | Direct | |
| Nov 23, 2021 | Common Stock | SSaleDisposed | −5,300 | $277.25F8 | −$1,469,425 | 1,610,197 | Direct | |
| Nov 23, 2021 | Common Stock | SSaleDisposed | −200 | $278.48F9 | −$55,696 | 1,609,997 | Direct | |
| Nov 23, 2021 | Common Stock | SSaleDisposed | −400 | $280.14F10 | −$112,056 | 1,609,597 | Direct | |
| Jan 24, 2021 | Common Stock | MOption exerciseAcquired | +5,000 | $10.90 | +$54,500 | 1,614,597 | Direct | |
| Jan 24, 2021 | Common Stock | SSaleDisposed | −5,000 | $273.01 | −$1,365,050 | 1,609,597 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 23, 2021 | Common Stock | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 191,972 | Direct | |
| Nov 23, 2021 | Common Stock | MOption exerciseDisposed | −10,000 | $0.00 | $0 | 237,431 | Direct | |
| Nov 24, 2021 | Common Stock | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 186,972 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $269.86 to $270.50. Full information regarding the number of shares sold at each separate ice can be furnished to the SEC staff upon request.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $271.52 to $272.50. Full information regarding the number of shares sold at each separate ice can be furnished to the SEC staff upon request.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $272.62 to $273.56. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
Referenced by the price of 1 transaction in Table I.
- F5
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $273.72 to $274.70. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
Referenced by the price of 1 transaction in Table I.
- F6
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $274.80 to $275.80. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
Referenced by the price of 1 transaction in Table I.
- F7
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $275.85 to $276.77. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
Referenced by the price of 1 transaction in Table I.
- F8
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $277.08 to $277.97. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
Referenced by the price of 1 transaction in Table I.
- F9
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $278.15 to $278.80. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
Referenced by the price of 1 transaction in Table I.
- F10
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $279.80 to $280.74. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
Referenced by the price of 1 transaction in Table I.