Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Dec 30, 2022
- Accession no.
- 0001127602-22-028355
- Filed
- Dec 30, 2022
- Trade date
- Dec 28-29, 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 $16.1M. 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 28, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Dec 28, 2022 | Common Stock | SSaleDisposed | −4,423 | $175.37F2 | −$775,661.51 | 5,447,523 | Direct | |
| Dec 28, 2022 | Common Stock | SSaleDisposed | −15,728 | $176.33F3 | −$2,773,318.24 | 5,431,795 | Direct | |
| Dec 28, 2022 | Common Stock | SSaleDisposed | −8,639 | $177.00F4 | −$1,529,103 | 5,423,156 | Direct | |
| Dec 28, 2022 | Common Stock | SSaleDisposed | −8,926 | $178.46F5 | −$1,592,933.96 | 5,414,230 | Direct | |
| Dec 28, 2022 | Common Stock | SSaleDisposed | −2,284 | $178.96F6 | −$408,744.64 | 5,411,946 | Direct | |
| Dec 29, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Dec 29, 2022 | Common Stock | SSaleDisposed | −20,708 | $179.31F7 | −$3,713,151.48 | 5,431,238 | Direct | |
| Dec 29, 2022 | Common Stock | SSaleDisposed | −15,890 | $180.25F8 | −$2,864,172.5 | 5,415,348 | Direct | |
| Dec 29, 2022 | Common Stock | SSaleDisposed | −2,602 | $181.07F9 | −$471,144.14 | 5,412,746 | Direct | |
| Dec 29, 2022 | Common Stock | SSaleDisposed | −800 | $182.13F10 | −$145,704 | 5,411,946 | Direct | |
| Dec 29, 2022 | Common Stock | SSaleDisposed | −10,000 | $178.19 | −$1,781,900 | 6,564,880 | 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 28, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 2,067,155 | Direct | |
| Dec 29, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 2,027,155 | 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 $175.72. 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.
- F3
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $175.73 to $176.73. 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 $177.73. 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 $177.75 to $178.75. 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.
- F6
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $178.79 to $179.07. 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 $178.77 to $179.76. 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 $179.78 to $180.78. 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 $180.80 to $181.72. 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.
- F10
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $181.93 to $182.46. 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.