Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Nov 18, 2022
- Accession no.
- 0001127602-22-026035
- Filed
- Nov 18, 2022
- Trade date
- Nov 16-17, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 12 non-derivative transactions and 2 derivative transactions. Open-market sales total $16.5M. 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 16, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Nov 16, 2022 | Common Stock | SSaleDisposed | −13,340 | $183.70F2 | −$2,450,558 | 5,438,606 | Direct | |
| Nov 16, 2022 | Common Stock | SSaleDisposed | −3,460 | $184.45F3 | −$638,197 | 5,435,146 | Direct | |
| Nov 16, 2022 | Common Stock | SSaleDisposed | −23,100 | $185.55F4 | −$4,286,205 | 5,412,046 | Direct | |
| Nov 16, 2022 | Common Stock | SSaleDisposed | −100 | $186.12 | −$18,612 | 5,411,946 | Direct | |
| Nov 17, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Nov 17, 2022 | Common Stock | SSaleDisposed | −5,255 | $180.31F5 | −$947,529.05 | 5,446,691 | Direct | |
| Nov 17, 2022 | Common Stock | SSaleDisposed | −11,822 | $181.19F6 | −$2,142,028.18 | 5,434,869 | Direct | |
| Nov 17, 2022 | Common Stock | SSaleDisposed | −6,298 | $182.37F7 | −$1,148,566.26 | 5,428,571 | Direct | |
| Nov 17, 2022 | Common Stock | SSaleDisposed | −12,947 | $183.23F8 | −$2,372,278.81 | 5,415,624 | Direct | |
| Nov 17, 2022 | Common Stock | SSaleDisposed | −3,678 | $184.13F9 | −$677,230.14 | 5,411,946 | Direct | |
| Nov 17, 2022 | Common Stock | SSaleDisposed | −10,000 | $181.33 | −$1,813,300 | 6,624,880 | 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 16, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 2,547,155 | Direct | |
| Nov 17, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 2,507,155 | 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 $183.02 to $184.00. 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.
- F3
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $184.03 to $185.03. 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 $185.10 to $186.10. 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 $179.69 to $180.68. 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.
- F6
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $180.71 to $181.70. 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.
- F7
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $181.74 to $182.74. 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.
- F8
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $182.75 to $183.75. 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 $183.80 to $184.44. 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.