Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Dec 2, 2022
- Accession no.
- 0001127602-22-026763
- Filed
- Dec 2, 2022
- Trade date
- Nov 30-Dec 1, 2022
- Filing delay
- 2 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 $15.9M. 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 30, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Nov 30, 2022 | Common Stock | SSaleDisposed | −7,655 | $169.62F2 | −$1,298,441.1 | 5,444,291 | Direct | |
| Nov 30, 2022 | Common Stock | SSaleDisposed | −11,705 | $170.63F3 | −$1,997,224.15 | 5,432,586 | Direct | |
| Nov 30, 2022 | Common Stock | SSaleDisposed | −3,897 | $171.60F4 | −$668,725.2 | 5,428,689 | Direct | |
| Nov 30, 2022 | Common Stock | SSaleDisposed | −2,410 | $172.57F5 | −$415,893.7 | 5,426,279 | Direct | |
| Nov 30, 2022 | Common Stock | SSaleDisposed | −1,578 | $173.91F6 | −$274,429.98 | 5,424,701 | Direct | |
| Nov 30, 2022 | Common Stock | SSaleDisposed | −5,676 | $174.80F7 | −$992,164.8 | 5,419,025 | Direct | |
| Nov 30, 2022 | Common Stock | SSaleDisposed | −6,263 | $175.80F8 | −$1,101,035.4 | 5,412,762 | Direct | |
| Nov 30, 2022 | Common Stock | SSaleDisposed | −816 | $176.36F9 | −$143,909.76 | 5,411,946 | Direct | |
| Dec 1, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Dec 1, 2022 | Common Stock | SSaleDisposed | −11,712 | $179.62F10 | −$2,103,709.44 | 5,440,234 | Direct | |
| Dec 1, 2022 | Common Stock | SSaleDisposed | −12,331 | $180.53F11 | −$2,226,115.43 | 5,427,903 | Direct | |
| Dec 1, 2022 | Common Stock | SSaleDisposed | −6,321 | $181.58F12 | −$1,147,767.18 | 5,421,582 | Direct | |
| Dec 1, 2022 | Common Stock | SSaleDisposed | −7,832 | $182.65F13 | −$1,430,514.8 | 5,413,750 | Direct | |
| Dec 1, 2022 | Common Stock | SSaleDisposed | −1,804 | $183.46F14 | −$330,961.84 | 5,411,946 | Direct | |
| Dec 1, 2022 | Common Stock | SSaleDisposed | −10,000 | $173.41 | −$1,734,100 | 6,604,880 | 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 30, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 2,387,155 | Direct | |
| Dec 1, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 2,347,155 | 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 $169.12 to $170.09. 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 $170.14 to $171.13. 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 $171.15 to $172.14. 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 $172.19 to $173.19. 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.
- F6
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $173.20 to $174.19. 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.
- F7
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $174.22 to $175.20. 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.
- F8
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $175.23 to $176.21. 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 $176.27 to $176.49. 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 $179.10 to $180.10. 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.
- F11
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $180.11 to $181.09. 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 $181.12 to $182.12. 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 $182.16 to $183.15. 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 $183.21 to $183.84. 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.