Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Nov 4, 2022
- Accession no.
- 0001127602-22-024968
- Filed
- Nov 4, 2022
- Trade date
- Nov 2-3, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 18 non-derivative transactions and 2 derivative transactions. Open-market sales total $13.4M. 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 2, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Nov 2, 2022 | Common Stock | SSaleDisposed | −2,435 | $148.91F2 | −$362,595.85 | 5,449,511 | Direct | |
| Nov 2, 2022 | Common Stock | SSaleDisposed | −5,687 | $150.01F3 | −$853,106.87 | 5,443,824 | Direct | |
| Nov 2, 2022 | Common Stock | SSaleDisposed | −700 | $150.98F4 | −$105,686 | 5,443,124 | Direct | |
| Nov 2, 2022 | Common Stock | SSaleDisposed | −1,076 | $152.03F5 | −$163,584.28 | 5,442,048 | Direct | |
| Nov 2, 2022 | Common Stock | SSaleDisposed | −15,368 | $153.25F6 | −$2,355,146 | 5,426,680 | Direct | |
| Nov 2, 2022 | Common Stock | SSaleDisposed | −13,567 | $154.16F7 | −$2,091,488.72 | 5,413,113 | Direct | |
| Nov 2, 2022 | Common Stock | SSaleDisposed | −1,167 | $154.89F8 | −$180,756.63 | 5,411,946 | Direct | |
| Nov 3, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Nov 3, 2022 | Common Stock | SSaleDisposed | −2,309 | $143.87F9 | −$332,195.83 | 5,449,637 | Direct | |
| Nov 3, 2022 | Common Stock | SSaleDisposed | −5,096 | $144.89F10 | −$738,359.44 | 5,444,541 | Direct | |
| Nov 3, 2022 | Common Stock | SSaleDisposed | −8,520 | $145.75F11 | −$1,241,790 | 5,436,021 | Direct | |
| Nov 3, 2022 | Common Stock | SSaleDisposed | −4,613 | $146.65F12 | −$676,496.45 | 5,431,408 | Direct | |
| Nov 3, 2022 | Common Stock | SSaleDisposed | −3,800 | $147.85F13 | −$561,830 | 5,427,608 | Direct | |
| Nov 3, 2022 | Common Stock | SSaleDisposed | −13,762 | $148.86F14 | −$2,048,611.32 | 5,413,846 | Direct | |
| Nov 3, 2022 | Common Stock | SSaleDisposed | −1,800 | $149.90F15 | −$269,820 | 5,412,046 | Direct | |
| Nov 3, 2022 | Common Stock | SSaleDisposed | −100 | $150.60 | −$15,060 | 5,411,946 | Direct | |
| Nov 3, 2022 | Common Stock | SSaleDisposed | −10,000 | $138.61 | −$1,386,100 | 6,644,880 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 2, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 2,707,155 | Direct | |
| Nov 3, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 2,667,155 | 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 $148.40 to $149.34. 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 $149.41 to $150.38. 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 $150.43 to $151.30. 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 $151.46 to $152.43. 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 $152.61 to $153.60. 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 $153.63 to $154.63. 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 $154.68 to $155.00. 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 $143.24 to $144.22. 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 $144.28 to $145.27. 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 $145.30 to $146.30. 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 $146.31 to $147.31. 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 $147.35 to $148.35. 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 $148.36 to $149.33. 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.
- F15
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $149.47 to $150.40. 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.