Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Sep 16, 2022
- Accession no.
- 0001127602-22-022542
- Filed
- Sep 16, 2022
- Trade date
- Sep 14-15, 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 $12.4M. 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 14, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Sep 14, 2022 | Common Stock | SSaleDisposed | −8,194 | $137.08F2 | −$1,123,233.52 | 5,443,752 | Direct | |
| Sep 14, 2022 | Common Stock | SSaleDisposed | −15,854 | $138.44F3 | −$2,194,827.76 | 5,427,898 | Direct | |
| Sep 14, 2022 | Common Stock | SSaleDisposed | −7,030 | $139.50F4 | −$980,685 | 5,420,868 | Direct | |
| Sep 14, 2022 | Common Stock | SSaleDisposed | −7,822 | $140.47F5 | −$1,098,756.34 | 5,413,046 | Direct | |
| Sep 14, 2022 | Common Stock | SSaleDisposed | −1,100 | $141.31F6 | −$155,441 | 5,411,946 | Direct | |
| Sep 15, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Sep 15, 2022 | Common Stock | SSaleDisposed | −10,960 | $136.14F7 | −$1,492,094.4 | 5,440,986 | Direct | |
| Sep 15, 2022 | Common Stock | SSaleDisposed | −17,721 | $137.10F8 | −$2,429,549.1 | 5,423,265 | Direct | |
| Sep 15, 2022 | Common Stock | SSaleDisposed | −11,319 | $138.07F9 | −$1,562,814.33 | 5,411,946 | Direct | |
| Sep 15, 2022 | Common Stock | SSaleDisposed | −10,000 | $138.62 | −$1,386,200 | 6,714,880 | 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 14, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 3,267,155 | Direct | |
| Sep 15, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 3,227,155 | 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 $136.88 to $137.87. 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 $137.89 to $138.87. 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 $138.92 to $139.91. 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 $139.94 to $140.93. 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 $140.98 to $141.52. 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 $135.66 to $136.66. 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 $136.67 to $137.67. 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.
- F9
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $137.68 to $138.55. 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.