Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Dec 9, 2022
- Accession no.
- 0001127602-22-027178
- Filed
- Dec 9, 2022
- Trade date
- Dec 7-8, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 13 non-derivative transactions and 2 derivative transactions. Open-market sales total $16.2M. 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 7, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Dec 7, 2022 | Common Stock | SSaleDisposed | −443 | $175.26F2 | −$77,640.18 | 5,451,503 | Direct | |
| Dec 7, 2022 | Common Stock | SSaleDisposed | −7,613 | $176.56F3 | −$1,344,151.28 | 5,443,890 | Direct | |
| Dec 7, 2022 | Common Stock | SSaleDisposed | −15,826 | $177.30F4 | −$2,805,949.8 | 5,428,064 | Direct | |
| Dec 7, 2022 | Common Stock | SSaleDisposed | −4,961 | $178.23F5 | −$884,199.03 | 5,423,103 | Direct | |
| Dec 7, 2022 | Common Stock | SSaleDisposed | −10,557 | $179.49F6 | −$1,894,875.93 | 5,412,546 | Direct | |
| Dec 7, 2022 | Common Stock | SSaleDisposed | −600 | $180.11F7 | −$108,066 | 5,411,946 | Direct | |
| Dec 8, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Dec 8, 2022 | Common Stock | SSaleDisposed | −12,262 | $182.19F8 | −$2,234,013.78 | 5,439,684 | Direct | |
| Dec 8, 2022 | Common Stock | SSaleDisposed | −19,078 | $183.05F9 | −$3,492,227.9 | 5,420,606 | Direct | |
| Dec 8, 2022 | Common Stock | SSaleDisposed | −7,622 | $184.25F10 | −$1,404,353.5 | 5,412,984 | Direct | |
| Dec 8, 2022 | Common Stock | SSaleDisposed | −1,038 | $184.88F11 | −$191,905.44 | 5,411,946 | Direct | |
| Dec 8, 2022 | Common Stock | SSaleDisposed | −10,000 | $179.12 | −$1,791,200 | 6,594,880 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 7, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 2,307,155 | Direct | |
| Dec 8, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 2,267,155 | 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 $174.72 to $175.69. 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.
- F3
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $175.80 to $176.80. 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.
- F4
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $176.81 to $177.81. 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 $177.82 to $178.80. 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.
- F6
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $178.97 to $179.96. 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 $180.00 to $180.33. 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.
- F8
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $181.64 to $182.64. 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 $182.65 to $183.65. 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 $183.70 to $184.69. 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.
- F11
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $184.72 to $185.10. 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.