Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Oct 14, 2022
- Accession no.
- 0001127602-22-023939
- Filed
- Oct 14, 2022
- Trade date
- Oct 12-13, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 16 non-derivative transactions and 2 derivative transactions. Open-market sales total $11.9M. 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 12, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Oct 12, 2022 | Common Stock | SSaleDisposed | −15,789 | $130.74F2 | −$2,064,253.86 | 5,436,157 | Direct | |
| Oct 12, 2022 | Common Stock | SSaleDisposed | −4,824 | $131.85F3 | −$636,044.4 | 5,431,333 | Direct | |
| Oct 12, 2022 | Common Stock | SSaleDisposed | −8,682 | $132.95F4 | −$1,154,271.9 | 5,422,651 | Direct | |
| Oct 12, 2022 | Common Stock | SSaleDisposed | −7,210 | $133.90F5 | −$965,419 | 5,415,441 | Direct | |
| Oct 12, 2022 | Common Stock | SSaleDisposed | −3,495 | $134.81F6 | −$471,160.95 | 5,411,946 | Direct | |
| Oct 13, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Oct 13, 2022 | Common Stock | SSaleDisposed | −3,500 | $128.37F7 | −$449,295 | 5,448,446 | Direct | |
| Oct 13, 2022 | Common Stock | SSaleDisposed | −1,472 | $129.16F8 | −$190,123.52 | 5,446,974 | Direct | |
| Oct 13, 2022 | Common Stock | SSaleDisposed | −1,160 | $130.30F9 | −$151,148 | 5,445,814 | Direct | |
| Oct 13, 2022 | Common Stock | SSaleDisposed | −968 | $131.19F10 | −$126,991.92 | 5,444,846 | Direct | |
| Oct 13, 2022 | Common Stock | SSaleDisposed | −3,800 | $132.78F11 | −$504,564 | 5,441,046 | Direct | |
| Oct 13, 2022 | Common Stock | SSaleDisposed | −13,640 | $133.63F12 | −$1,822,713.2 | 5,427,406 | Direct | |
| Oct 13, 2022 | Common Stock | SSaleDisposed | −9,895 | $134.57F13 | −$1,331,570.15 | 5,417,511 | Direct | |
| Oct 13, 2022 | Common Stock | SSaleDisposed | −5,565 | $135.43F14 | −$753,667.95 | 5,411,946 | Direct | |
| Oct 13, 2022 | Common Stock | SSaleDisposed | −10,000 | $126.51 | −$1,265,100 | 6,674,880 | 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 12, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 2,947,155 | Direct | |
| Oct 13, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 2,907,155 | 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 $130.43 to $131.40. 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 $131.44 to $132.41. 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 $132.47 to $133.47. 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 $133.48 to $134.46. 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 $134.50 to $135.50. 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 $127.77 to $128.72. 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.
- F8
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $128.78 to $129.70. 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.
- F9
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $129.92 to $130.59. 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 $130.97 to $131.68. 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.
- F11
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $132.08 to $133.07. 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.
- F12
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $133.10 to $134.09. 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.
- F13
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $134.11 to $135.10. 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.
- F14
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $135.12 to $135.84. 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.