Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Nov 25, 2022
- Accession no.
- 0001127602-22-026394
- Filed
- Nov 25, 2022
- Trade date
- Nov 23, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 1 derivative transaction. Open-market sales total $7.05M. 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 23, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Nov 23, 2022 | Common Stock | SSaleDisposed | −13,407 | $175.41F2 | −$2,351,721.87 | 5,438,539 | Direct | |
| Nov 23, 2022 | Common Stock | SSaleDisposed | −19,799 | $176.23F3 | −$3,489,177.77 | 5,418,740 | Direct | |
| Nov 23, 2022 | Common Stock | SSaleDisposed | −4,094 | $177.00F4 | −$724,638 | 5,414,646 | Direct | |
| Nov 23, 2022 | Common Stock | SSaleDisposed | −2,500 | $178.60F5 | −$446,500 | 5,412,146 | Direct | |
| Nov 23, 2022 | Common Stock | SSaleDisposed | −200 | $179.27F6 | −$35,854 | 5,411,946 | Direct |
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 23, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 2,467,155 | 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 $174.71 to $175.71. 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 $175.72 to $176.72. 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.
- F4
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $176.74 to $177.62. 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 $177.87 to $178.70. 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.
- F6
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $179.24 to $179.30. 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.