Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Aug 19, 2022
- Accession no.
- 0001127602-22-021390
- Filed
- Aug 19, 2022
- Trade date
- Aug 17-18, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 14 non-derivative transactions and 2 derivative transactions. Open-market sales total $14.0M. 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 17, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Aug 17, 2022 | Common Stock | SSaleDisposed | −15,521 | $158.30F2 | −$2,456,974.3 | 5,436,425 | Direct | |
| Aug 17, 2022 | Common Stock | SSaleDisposed | −16,513 | $159.15F3 | −$2,628,043.95 | 5,419,912 | Direct | |
| Aug 17, 2022 | Common Stock | SSaleDisposed | −7,566 | $160.14F4 | −$1,211,619.24 | 5,412,346 | Direct | |
| Aug 17, 2022 | Common Stock | SSaleDisposed | −300 | $161.14F5 | −$48,342 | 5,412,046 | Direct | |
| Aug 17, 2022 | Common Stock | SSaleDisposed | −100 | $161.91 | −$16,191 | 5,411,946 | Direct | |
| Aug 18, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Aug 18, 2022 | Common Stock | SSaleDisposed | −5,744 | $149.34F6 | −$857,808.96 | 5,446,202 | Direct | |
| Aug 18, 2022 | Common Stock | SSaleDisposed | −15,521 | $150.11F7 | −$2,329,857.31 | 5,430,681 | Direct | |
| Aug 18, 2022 | Common Stock | SSaleDisposed | −6,177 | $150.93F8 | −$932,294.61 | 5,424,504 | Direct | |
| Aug 18, 2022 | Common Stock | SSaleDisposed | −6,603 | $152.14F9 | −$1,004,580.42 | 5,417,901 | Direct | |
| Aug 18, 2022 | Common Stock | SSaleDisposed | −4,755 | $153.12F10 | −$728,085.6 | 5,413,146 | Direct | |
| Aug 18, 2022 | Common Stock | SSaleDisposed | −1,200 | $153.98F11 | −$184,776 | 5,411,946 | Direct | |
| Aug 18, 2022 | Common Stock | SSaleDisposed | −10,000 | $157.00 | −$1,570,000 | 6,754,880 | 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 17, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 3,587,155 | Direct | |
| Aug 18, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 3,547,155 | 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 $157.71 to $158.71. 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.
- F3
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $158.72 to $159.68. 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 $159.76 to $160.67. 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 $160.87 to $161.54. 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 $148.58 to $149.58. 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.
- F7
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $149.59 to $150.59. 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 $150.60 to $151.59. 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 $151.63 to $152.62. 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 $152.66 to $153.65. 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 $153.71 to $154.19. 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.