Hoge Stephen's Form 4 filing
Moderna, Inc. (MRNA) · filed Aug 25, 2021
- Accession no.
- 0001127602-21-024308
- Filed
- Aug 25, 2021
- Trade date
- Aug 23-24, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 22 non-derivative transactions and 3 derivative transactions. Open-market sales total $8.00M. It was filed 2 days after the trade.
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 |
|---|---|---|---|---|---|---|---|---|
| Aug 23, 2021 | Common Stock | MOption exerciseAcquired | +5,000 | $10.90 | +$54,500 | 1,614,597 | Direct | |
| Aug 23, 2021 | Common Stock | MOption exerciseAcquired | +10,000 | $0.99 | +$9,900 | 1,624,597 | Direct | |
| Aug 23, 2021 | Common Stock | SSaleDisposed | −300 | $389.39F2 | −$116,817 | 1,624,297 | Direct | |
| Aug 23, 2021 | Common Stock | SSaleDisposed | −5,000 | $390.11 | −$1,950,550 | 1,619,297 | Direct | |
| Aug 23, 2021 | Common Stock | SSaleDisposed | −400 | $392.68F3 | −$157,072 | 1,618,897 | Direct | |
| Aug 23, 2021 | Common Stock | SSaleDisposed | −200 | $393.68F4 | −$78,736 | 1,618,697 | Direct | |
| Aug 23, 2021 | Common Stock | SSaleDisposed | −300 | $395.11F5 | −$118,533 | 1,618,397 | Direct | |
| Aug 23, 2021 | Common Stock | SSaleDisposed | −400 | $396.28F6 | −$158,512 | 1,617,997 | Direct | |
| Aug 23, 2021 | Common Stock | SSaleDisposed | −200 | $396.89F7 | −$79,378 | 1,617,797 | Direct | |
| Aug 23, 2021 | Common Stock | SSaleDisposed | −800 | $399.16F8 | −$319,328 | 1,616,997 | Direct | |
| Aug 23, 2021 | Common Stock | SSaleDisposed | −725 | $400.84F9 | −$290,609 | 1,616,272 | Direct | |
| Aug 23, 2021 | Common Stock | SSaleDisposed | −713 | $402.09F10 | −$286,690.17 | 1,615,559 | Direct | |
| Aug 23, 2021 | Common Stock | SSaleDisposed | −1,585 | $403.07F11 | −$638,865.95 | 1,613,974 | Direct | |
| Aug 23, 2021 | Common Stock | SSaleDisposed | −445 | $403.86F12 | −$179,717.7 | 1,613,529 | Direct | |
| Aug 23, 2021 | Common Stock | SSaleDisposed | −400 | $405.08F13 | −$162,032 | 1,613,129 | Direct | |
| Aug 23, 2021 | Common Stock | SSaleDisposed | −100 | $406.30 | −$40,630 | 1,613,029 | Direct | |
| Aug 23, 2021 | Common Stock | SSaleDisposed | −800 | $407.98F14 | −$326,384 | 1,612,229 | Direct | |
| Aug 23, 2021 | Common Stock | SSaleDisposed | −1,100 | $409.07F15 | −$449,977 | 1,611,129 | Direct | |
| Aug 23, 2021 | Common Stock | SSaleDisposed | −974 | $410.22F16 | −$399,554.28 | 1,610,155 | Direct | |
| Aug 23, 2021 | Common Stock | SSaleDisposed | −558 | $411.07F17 | −$229,377.06 | 1,609,597 | Direct | |
| Aug 24, 2021 | Common Stock | MOption exerciseAcquired | +5,000 | $10.90 | +$54,500 | 1,614,597 | Direct | |
| Aug 24, 2021 | Common Stock | SSaleDisposed | −5,000 | $403.98 | −$2,019,900 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 23, 2021 | Common Stock | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 251,972 | Direct | |
| Aug 23, 2021 | Common Stock | MOption exerciseDisposed | −10,000 | $0.00 | $0 | 357,431 | Direct | |
| Aug 24, 2021 | Common Stock | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 246,972 | 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 $389.02 to $390.02. 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.
- F3
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $392.11 to $393.03. 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.
- F4
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $393.36 to $394.00. 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 $394.72 to $395.61. 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 $395.87 to $396.52. 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 $396.88 to $396.89. 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 $398.51 to $399.40. 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 $400.41 to $401.23. 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 $401.58 to $402.58. 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.
- F11
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $402.61 to $403.57. 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.
- F12
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $403.68 to $404.29. 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.
- F13
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $404.90 to $405.24. 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.
- F14
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $407.39 to $408.39. 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.
- F15
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $408.49 to $409.45 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.
- F16
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $409.72 to $410.71. 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.
- F17
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $410.87 to $411.57. 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.