Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Oct 7, 2022
- Accession no.
- 0001127602-22-023800
- Filed
- Oct 7, 2022
- Trade date
- Oct 5-6, 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 $11.2M. 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 5, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Oct 5, 2022 | Common Stock | SSaleDisposed | −7,692 | $122.40F2 | −$941,500.8 | 5,444,254 | Direct | |
| Oct 5, 2022 | Common Stock | SSaleDisposed | −8,640 | $123.27F3 | −$1,065,052.8 | 5,435,614 | Direct | |
| Oct 5, 2022 | Common Stock | SSaleDisposed | −6,938 | $124.48F4 | −$863,642.24 | 5,428,676 | Direct | |
| Oct 5, 2022 | Common Stock | SSaleDisposed | −12,501 | $125.32F5 | −$1,566,625.32 | 5,416,175 | Direct | |
| Oct 5, 2022 | Common Stock | SSaleDisposed | −4,229 | $126.31F6 | −$534,164.99 | 5,411,946 | Direct | |
| Oct 6, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Oct 6, 2022 | Common Stock | SSaleDisposed | −8,381 | $123.89F7 | −$1,038,322.09 | 5,443,565 | Direct | |
| Oct 6, 2022 | Common Stock | SSaleDisposed | −28,847 | $124.94F8 | −$3,604,144.18 | 5,414,718 | Direct | |
| Oct 6, 2022 | Common Stock | SSaleDisposed | −2,772 | $125.35F9 | −$347,470.2 | 5,411,946 | Direct | |
| Oct 6, 2022 | Common Stock | SSaleDisposed | −10,000 | $124.52 | −$1,245,200 | 6,684,880 | 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 5, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 3,027,155 | Direct | |
| Oct 6, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 2,987,155 | 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 $121.85 to $122.84. 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 $122.87 to $123.86. 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 $123.90 to $124.90. 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 $124.92 to $125.92. 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.
- F6
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $125.93 to $126.72. 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 $123.24 to $124.24. 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 $124.26 to $125.26. 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 $125.27 to $125.70. 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.