Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Sep 30, 2022
- Accession no.
- 0001127602-22-023122
- Filed
- Sep 30, 2022
- Trade date
- Sep 28-29, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 10 non-derivative transactions and 2 derivative transactions. Open-market sales total $10.8M. 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 28, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Sep 28, 2022 | Common Stock | SSaleDisposed | −19,223 | $122.30F2 | −$2,350,972.9 | 5,432,723 | Direct | |
| Sep 28, 2022 | Common Stock | SSaleDisposed | −13,099 | $123.41F3 | −$1,616,547.59 | 5,419,624 | Direct | |
| Sep 28, 2022 | Common Stock | SSaleDisposed | −7,678 | $124.36F4 | −$954,836.08 | 5,411,946 | Direct | |
| Sep 29, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Sep 29, 2022 | Common Stock | SSaleDisposed | −9,270 | $115.76F5 | −$1,073,095.2 | 5,442,676 | Direct | |
| Sep 29, 2022 | Common Stock | SSaleDisposed | −18,415 | $116.66F6 | −$2,148,293.9 | 5,424,261 | Direct | |
| Sep 29, 2022 | Common Stock | SSaleDisposed | −12,015 | $117.70F7 | −$1,414,165.5 | 5,412,246 | Direct | |
| Sep 29, 2022 | Common Stock | SSaleDisposed | −300 | $118.19F8 | −$35,457 | 5,411,946 | Direct | |
| Sep 29, 2022 | Common Stock | SSaleDisposed | −10,000 | $119.82 | −$1,198,200 | 6,694,880 | 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 28, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 3,107,155 | Direct | |
| Sep 29, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 3,067,155 | 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 $121.96 to $122.96. 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 $122.97 to $123.97. 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 $123.98 to $124.91. 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 $115.12 to $116.12. 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 $116.13 to $117.13. 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.
- F7
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $117.15 to $118.14. 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.
- F8
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $118.19 to $118.20. 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.