Hoge Stephen's Form 4 filing
Moderna, Inc. (MRNA) · filed Sep 27, 2021
- Accession no.
- 0001127602-21-025886
- Filed
- Sep 27, 2021
- Trade date
- Sep 23-24, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 18 non-derivative transactions and 3 derivative transactions. Open-market sales total $8.97M. It was filed 4 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 23, 2021 | Common Stock | MOption exerciseAcquired | +5,000 | $10.90 | +$54,500 | 1,614,597 | Direct | |
| Sep 23, 2021 | Common Stock | MOption exerciseAcquired | +10,000 | $0.99 | +$9,900 | 1,624,597 | Direct | |
| Sep 23, 2021 | Common Stock | SSaleDisposed | −5,100 | $439.45F2 | −$2,241,195 | 1,619,497 | Direct | |
| Sep 23, 2021 | Common Stock | SSaleDisposed | −144 | $440.86F3 | −$63,483.84 | 1,619,353 | Direct | |
| Sep 23, 2021 | Common Stock | SSaleDisposed | −34 | $443.90 | −$15,092.6 | 1,619,319 | Direct | |
| Sep 23, 2021 | Common Stock | SSaleDisposed | −200 | $445.44F4 | −$89,088 | 1,619,119 | Direct | |
| Sep 23, 2021 | Common Stock | SSaleDisposed | −554 | $447.27F5 | −$247,787.58 | 1,618,565 | Direct | |
| Sep 23, 2021 | Common Stock | SSaleDisposed | −898 | $448.48F6 | −$402,735.04 | 1,617,667 | Direct | |
| Sep 23, 2021 | Common Stock | SSaleDisposed | −100 | $449.60 | −$44,960 | 1,617,567 | Direct | |
| Sep 23, 2021 | Common Stock | SSaleDisposed | −227 | $450.93F7 | −$102,361.11 | 1,617,340 | Direct | |
| Sep 23, 2021 | Common Stock | SSaleDisposed | −600 | $452.25F8 | −$271,350 | 1,616,740 | Direct | |
| Sep 23, 2021 | Common Stock | SSaleDisposed | −1,798 | $453.26F9 | −$814,961.48 | 1,614,942 | Direct | |
| Sep 23, 2021 | Common Stock | SSaleDisposed | −1,856 | $454.26F10 | −$843,106.56 | 1,613,086 | Direct | |
| Sep 23, 2021 | Common Stock | SSaleDisposed | −879 | $455.44F11 | −$400,331.76 | 1,612,207 | Direct | |
| Sep 23, 2021 | Common Stock | SSaleDisposed | −1,554 | $456.45F12 | −$709,323.3 | 1,610,653 | Direct | |
| Sep 23, 2021 | Common Stock | SSaleDisposed | −1,056 | $457.54F13 | −$483,162.24 | 1,609,597 | Direct | |
| Sep 24, 2021 | Common Stock | MOption exerciseAcquired | +5,000 | $10.90 | +$54,500 | 1,614,597 | Direct | |
| Sep 24, 2021 | Common Stock | SSaleDisposed | −5,000 | $448.04 | −$2,240,200 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 23, 2021 | Common Stock | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 231,972 | Direct | |
| Sep 23, 2021 | Common Stock | MOption exerciseDisposed | −10,000 | $0.00 | $0 | 317,431 | Direct | |
| Sep 24, 2021 | Common Stock | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 226,972 | 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 $439.45 to $439.57. 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.
- F3
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $440.83 to $440.94. 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 $445.16 to $445.71. 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.
- F5
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $446.92 to $447.55. 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 $448.00 to $448.92. 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 $450.70 to $451.14. 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 $451.79 to $452.78. 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 $452.80 to $453.70. 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.
- F10
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $453.83 to $454.80. 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.
- F11
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $454.90 to $455.89. 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.
- F12
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $455.91 to $456.90. 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 $457.06 to $457.90. 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.