Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Sep 9, 2022
- Accession no.
- 0001127602-22-022250
- Filed
- Sep 9, 2022
- Trade date
- Sep 7-8, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 11 non-derivative transactions and 2 derivative transactions. Open-market sales total $12.3M. 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 7, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Sep 7, 2022 | Common Stock | SSaleDisposed | −19,167 | $133.02F2 | −$2,549,594.34 | 5,432,779 | Direct | |
| Sep 7, 2022 | Common Stock | SSaleDisposed | −10,320 | $133.86F3 | −$1,381,435.2 | 5,422,459 | Direct | |
| Sep 7, 2022 | Common Stock | SSaleDisposed | −10,513 | $134.71F4 | −$1,416,206.23 | 5,411,946 | Direct | |
| Sep 8, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Sep 8, 2022 | Common Stock | SSaleDisposed | −5,781 | $138.51F5 | −$800,726.31 | 5,446,165 | Direct | |
| Sep 8, 2022 | Common Stock | SSaleDisposed | −10,179 | $139.41F6 | −$1,419,054.39 | 5,435,986 | Direct | |
| Sep 8, 2022 | Common Stock | SSaleDisposed | −18,909 | $140.39F7 | −$2,654,634.51 | 5,417,077 | Direct | |
| Sep 8, 2022 | Common Stock | SSaleDisposed | −4,231 | $141.61F8 | −$599,151.91 | 5,412,846 | Direct | |
| Sep 8, 2022 | Common Stock | SSaleDisposed | −900 | $142.15F9 | −$127,935 | 5,411,946 | Direct | |
| Sep 8, 2022 | Common Stock | SSaleDisposed | −10,000 | $136.72 | −$1,367,200 | 6,724,880 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 7, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 3,347,155 | Direct | |
| Sep 8, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 3,307,155 | 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 $132.41 to $133.41. 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 $133.42 to $134.41. 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 $134.45 to $135.09. 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 $138.00 to $139.00. 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.
- F6
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $139.01 to $140.01. 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 $140.02 to $141.00. 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.
- F8
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $141.03 to $142.00. 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.
- F9
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $142.05 to $140.21. 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.