Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Aug 12, 2022
- Accession no.
- 0001127602-22-020880
- Filed
- Aug 12, 2022
- Trade date
- Aug 10-11, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 17 non-derivative transactions and 2 derivative transactions. Open-market sales total $15.6M. 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 |
|---|---|
| Bancel StephaneCIK 0001443340 | Director, Officer (Chief Executive Officer) |
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 10, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Aug 10, 2022 | Common Stock | SSaleDisposed | −7,290 | $170.93F2 | −$1,246,079.7 | 5,444,656 | Direct | |
| Aug 10, 2022 | Common Stock | SSaleDisposed | −15,158 | $171.81F3 | −$2,604,295.98 | 5,429,498 | Direct | |
| Aug 10, 2022 | Common Stock | SSaleDisposed | −10,161 | $172.90F4 | −$1,756,836.9 | 5,419,337 | Direct | |
| Aug 10, 2022 | Common Stock | SSaleDisposed | −6,891 | $173.73F5 | −$1,197,173.43 | 5,412,446 | Direct | |
| Aug 10, 2022 | Common Stock | SSaleDisposed | −500 | $174.38F6 | −$87,190 | 5,411,946 | Direct | |
| Aug 11, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Aug 11, 2022 | Common Stock | SSaleDisposed | −7,599 | $171.72F7 | −$1,304,900.28 | 5,444,347 | Direct | |
| Aug 11, 2022 | Common Stock | SSaleDisposed | −5,167 | $172.73F8 | −$892,495.91 | 5,439,180 | Direct | |
| Aug 11, 2022 | Common Stock | SSaleDisposed | −4,007 | $173.68F9 | −$695,935.76 | 5,435,173 | Direct | |
| Aug 11, 2022 | Common Stock | SSaleDisposed | −9,821 | $174.68F10 | −$1,715,532.28 | 5,425,352 | Direct | |
| Aug 11, 2022 | Common Stock | SSaleDisposed | −3,106 | $175.61F11 | −$545,444.66 | 5,422,246 | Direct | |
| Aug 11, 2022 | Common Stock | SSaleDisposed | −9,100 | $176.54F12 | −$1,606,514 | 5,413,146 | Direct | |
| Aug 11, 2022 | Common Stock | SSaleDisposed | −500 | $177.46F13 | −$88,730 | 5,412,646 | Direct | |
| Aug 11, 2022 | Common Stock | SSaleDisposed | −500 | $178.98F14 | −$89,490 | 5,412,146 | Direct | |
| Aug 11, 2022 | Common Stock | SSaleDisposed | −200 | $179.54F15 | −$35,908 | 5,411,946 | Direct | |
| Aug 11, 2022 | Common Stock | SSaleDisposed | −10,000 | $174.23 | −$1,742,300 | 6,764,880 | Indirect |
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 10, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 3,667,155 | Direct | |
| Aug 11, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 3,627,155 | 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 $170.29 to $171.29. 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.
- F3
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $171.30 to $172.30. 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 $172.31 to $173.31. 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 $173.32 to $174.30. 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 $174.34 to $174.43. 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 $171.15 to $172.15. 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 $172.17 to $173.15. 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 $173.18 to $174.18. 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 $174.19 to $175.19. 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 $175.21 to $176.14. 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.
- F12
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $176.22 to $177.14. 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.
- F13
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $177.32 to $177.60. 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 $178.41 to $179.34. 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 $179.50 to $179.58. 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.