Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Sep 2, 2022
- Accession no.
- 0001127602-22-021994
- Filed
- Sep 2, 2022
- Trade date
- Aug 31-Sep 1, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 12 non-derivative transactions and 2 derivative transactions. Open-market sales total $12.0M. 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 31, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Aug 31, 2022 | Common Stock | SSaleDisposed | −15,024 | $132.34F2 | −$1,988,276.16 | 5,436,922 | Direct | |
| Aug 31, 2022 | Common Stock | SSaleDisposed | −9,501 | $133.16F3 | −$1,265,153.16 | 5,427,421 | Direct | |
| Aug 31, 2022 | Common Stock | SSaleDisposed | −4,932 | $134.51F4 | −$663,403.32 | 5,422,489 | Direct | |
| Aug 31, 2022 | Common Stock | SSaleDisposed | −3,877 | $135.15F5 | −$523,976.55 | 5,418,612 | Direct | |
| Aug 31, 2022 | Common Stock | SSaleDisposed | −2,866 | $136.47F6 | −$391,123.02 | 5,415,746 | Direct | |
| Aug 31, 2022 | Common Stock | SSaleDisposed | −3,800 | $137.24F7 | −$521,512 | 5,411,946 | Direct | |
| Sep 1, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Sep 1, 2022 | Common Stock | SSaleDisposed | −19,500 | $132.88F8 | −$2,591,160 | 5,432,446 | Direct | |
| Sep 1, 2022 | Common Stock | SSaleDisposed | −13,000 | $133.87F9 | −$1,740,310 | 5,419,446 | Direct | |
| Sep 1, 2022 | Common Stock | SSaleDisposed | −7,500 | $134.97F10 | −$1,012,275 | 5,411,946 | Direct | |
| Sep 1, 2022 | Common Stock | SSaleDisposed | −10,000 | $131.13 | −$1,311,300 | 6,734,880 | 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 31, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 3,427,155 | Direct | |
| Sep 1, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 3,387,155 | 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 $131.76 to $132.74. 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.
- F3
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $132.77 to $133.77. 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.
- F4
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $133.81 to $134.80. 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.
- F5
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $134.83 to $135.69. 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 $135.93 to $136.92. 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 $136.95 to $137.69. 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 $132.51 to $133.11. 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 $133.62 to $134.13. 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 $134.79 to $134.98. 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.