Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Oct 21, 2022
- Accession no.
- 0001127602-22-024246
- Filed
- Oct 21, 2022
- Trade date
- Oct 19-20, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 15 non-derivative transactions and 2 derivative transactions. Open-market sales total $11.1M. 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 19, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Oct 19, 2022 | Common Stock | SSaleDisposed | −14,280 | $123.74F2 | −$1,767,007.2 | 5,437,666 | Direct | |
| Oct 19, 2022 | Common Stock | SSaleDisposed | −9,738 | $124.60F3 | −$1,213,354.8 | 5,427,928 | Direct | |
| Oct 19, 2022 | Common Stock | SSaleDisposed | −4,333 | $125.54F4 | −$543,964.82 | 5,423,595 | Direct | |
| Oct 19, 2022 | Common Stock | SSaleDisposed | −3,585 | $126.83F5 | −$454,685.55 | 5,420,010 | Direct | |
| Oct 19, 2022 | Common Stock | SSaleDisposed | −4,645 | $127.64F6 | −$592,887.8 | 5,415,365 | Direct | |
| Oct 19, 2022 | Common Stock | SSaleDisposed | −3,419 | $128.73F7 | −$440,127.87 | 5,411,946 | Direct | |
| Oct 20, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Oct 20, 2022 | Common Stock | SSaleDisposed | −10,387 | $118.98F8 | −$1,235,845.26 | 5,441,559 | Direct | |
| Oct 20, 2022 | Common Stock | SSaleDisposed | −4,427 | $119.67F9 | −$529,779.09 | 5,437,132 | Direct | |
| Oct 20, 2022 | Common Stock | SSaleDisposed | −15,786 | $121.08F10 | −$1,911,368.88 | 5,421,346 | Direct | |
| Oct 20, 2022 | Common Stock | SSaleDisposed | −1,800 | $122.26F11 | −$220,068 | 5,419,546 | Direct | |
| Oct 20, 2022 | Common Stock | SSaleDisposed | −6,200 | $123.04F12 | −$762,848 | 5,413,346 | Direct | |
| Oct 20, 2022 | Common Stock | SSaleDisposed | −1,400 | $123.77F13 | −$173,278 | 5,411,946 | Direct | |
| Oct 20, 2022 | Common Stock | SSaleDisposed | −10,000 | $122.94 | −$1,229,400 | 6,664,880 | 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 19, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 2,867,155 | Direct | |
| Oct 20, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 2,827,155 | 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 $123.05 to $124.02. 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 $124.10 to $125.08. 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 $125.12 to $126.10. 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.
- F5
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $126.23 to $127.20. 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.
- F6
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $127.25 to $128.25. 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 $128.27 to $129.10. 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.
- F8
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $118.40 to $119.39. 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 $119.41 to $120.39. 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 $120.43 to $121.41. 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.
- F11
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $121.58 to $122.55. 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.
- F12
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $122.59 to $123.53. 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 $123.60 to $124.19. 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.