Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Nov 14, 2022
- Accession no.
- 0001127602-22-025504
- Filed
- Nov 14, 2022
- Trade date
- Nov 9-10, 2022
- Filing delay
- 5 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 $14.9M. It was filed 5 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 9, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Nov 9, 2022 | Common Stock | SSaleDisposed | −4,552 | $163.40F2 | −$743,796.8 | 5,447,394 | Direct | |
| Nov 9, 2022 | Common Stock | SSaleDisposed | −7,994 | $164.13F3 | −$1,312,055.22 | 5,439,400 | Direct | |
| Nov 9, 2022 | Common Stock | SSaleDisposed | −4,987 | $165.44F4 | −$825,049.28 | 5,434,413 | Direct | |
| Nov 9, 2022 | Common Stock | SSaleDisposed | −14,255 | $166.28F5 | −$2,370,321.4 | 5,420,158 | Direct | |
| Nov 9, 2022 | Common Stock | SSaleDisposed | −5,112 | $167.37F6 | −$855,595.44 | 5,415,046 | Direct | |
| Nov 9, 2022 | Common Stock | SSaleDisposed | −2,200 | $168.30F7 | −$370,260 | 5,412,846 | Direct | |
| Nov 9, 2022 | Common Stock | SSaleDisposed | −900 | $169.15F8 | −$152,235 | 5,411,946 | Direct | |
| Nov 10, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Nov 10, 2022 | Common Stock | SSaleDisposed | −200 | $162.25F9 | −$32,450 | 5,451,746 | Direct | |
| Nov 10, 2022 | Common Stock | SSaleDisposed | −12,800 | $164.02F10 | −$2,099,456 | 5,438,946 | Direct | |
| Nov 10, 2022 | Common Stock | SSaleDisposed | −12,600 | $165.28F11 | −$2,082,528 | 5,426,346 | Direct | |
| Nov 10, 2022 | Common Stock | SSaleDisposed | −6,800 | $166.70F12 | −$1,133,560 | 5,419,546 | Direct | |
| Nov 10, 2022 | Common Stock | SSaleDisposed | −6,114 | $167.53F13 | −$1,024,278.42 | 5,413,432 | Direct | |
| Nov 10, 2022 | Common Stock | SSaleDisposed | −1,486 | $168.49F14 | −$250,376.14 | 5,411,946 | Direct | |
| Nov 10, 2022 | Common Stock | SSaleDisposed | −10,000 | $164.43 | −$1,644,300 | 6,634,880 | 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 9, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 2,627,155 | Direct | |
| Nov 10, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 2,587,155 | 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 $162.74 to $163.74. 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 $163.75 to $164.69. 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 $164.83 to $165.81. 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 $165.85 to $166.84. 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.
- F6
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $166.86 to $167.86. 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.
- F7
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $167.87 to $168.85. 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 $168.89 to $169.52. 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 $161.89 to $162.61. 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 $163.73 to $164.33. 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.
- F11
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $164.80 to $165.80. 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 $165.89 to $166.74. 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 $166.95 to $167.63. 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.
- F14
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $168.08 to $168.87. 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.