Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Dec 23, 2022
- Accession no.
- 0001127602-22-028263
- Filed
- Dec 23, 2022
- Trade date
- Dec 21-22, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 17 non-derivative transactions and 2 derivative transactions. Open-market sales total $18.6M. 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 21, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Dec 21, 2022 | Common Stock | SSaleDisposed | −6,500 | $203.46 | −$1,322,490 | 5,445,446 | Direct | |
| Dec 21, 2022 | Common Stock | SSaleDisposed | −3,183 | $205.51F2 | −$654,138.33 | 5,442,263 | Direct | |
| Dec 21, 2022 | Common Stock | SSaleDisposed | −5,775 | $206.64F3 | −$1,193,346 | 5,436,488 | Direct | |
| Dec 21, 2022 | Common Stock | SSaleDisposed | −8,833 | $207.46F4 | −$1,832,494.18 | 5,427,655 | Direct | |
| Dec 21, 2022 | Common Stock | SSaleDisposed | −11,131 | $208.66F5 | −$2,322,594.46 | 5,416,524 | Direct | |
| Dec 21, 2022 | Common Stock | SSaleDisposed | −4,307 | $209.30F6 | −$901,455.1 | 5,412,217 | Direct | |
| Dec 21, 2022 | Common Stock | SSaleDisposed | −271 | $210.16F7 | −$56,953.36 | 5,411,946 | Direct | |
| Dec 22, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Dec 22, 2022 | Common Stock | SSaleDisposed | −700 | $202.35F8 | −$141,645 | 5,451,246 | Direct | |
| Dec 22, 2022 | Common Stock | SSaleDisposed | −6,216 | $203.56F9 | −$1,265,328.96 | 5,445,030 | Direct | |
| Dec 22, 2022 | Common Stock | SSaleDisposed | −8,379 | $204.47F10 | −$1,713,254.13 | 5,436,651 | Direct | |
| Dec 22, 2022 | Common Stock | SSaleDisposed | −11,981 | $205.50F11 | −$2,462,095.5 | 5,424,670 | Direct | |
| Dec 22, 2022 | Common Stock | SSaleDisposed | −9,093 | $206.39F12 | −$1,876,704.27 | 5,415,577 | Direct | |
| Dec 22, 2022 | Common Stock | SSaleDisposed | −2,872 | $207.33F13 | −$595,451.76 | 5,412,705 | Direct | |
| Dec 22, 2022 | Common Stock | SSaleDisposed | −759 | $208.13F14 | −$157,970.67 | 5,411,946 | Direct | |
| Dec 22, 2022 | Common Stock | SSaleDisposed | −10,000 | $209.82 | −$2,098,200 | 6,574,880 | 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 21, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 2,147,155 | Direct | |
| Dec 22, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 2,107,155 | 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 $204.91 to $205.90. 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 $205.95 to $206.95. 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 $206.96 to $207.96. 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.
- F5
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $207.99 to $208.99. 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 $209.00 to $209.99. 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 $210.12 to $210.20. 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 $201.70 to $202.62. 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.
- F9
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $202.95 to $203.92. 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 $203.96 to $204.93. 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 $204.97 to $205.97. 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 $205.98 to $206.96. 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.
- F13
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $206.99 to $207.92. 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 $208.00 to $208.39. 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.