Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Jan 6, 2023
- Accession no.
- 0001127602-23-001063
- Filed
- Jan 6, 2023
- Trade date
- Jan 4-5, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 11 non-derivative transactions and 2 derivative transactions. Open-market sales total $14.1M. 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 4, 2023 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Jan 4, 2023 | Common Stock | SSaleDisposed | −2,950 | $176.20F2 | −$519,790 | 5,448,996 | Direct | |
| Jan 4, 2023 | Common Stock | SSaleDisposed | −11,450 | $177.38F3 | −$2,031,001 | 5,437,546 | Direct | |
| Jan 4, 2023 | Common Stock | SSaleDisposed | −16,097 | $178.25F4 | −$2,869,290.25 | 5,421,449 | Direct | |
| Jan 4, 2023 | Common Stock | SSaleDisposed | −7,291 | $179.12F5 | −$1,305,963.92 | 5,414,158 | Direct | |
| Jan 4, 2023 | Common Stock | SSaleDisposed | −2,212 | $180.16F6 | −$398,513.92 | 5,411,946 | Direct | |
| Jan 5, 2023 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Jan 5, 2023 | Common Stock | SSaleDisposed | −10,749 | $172.64F7 | −$1,855,707.36 | 5,441,197 | Direct | |
| Jan 5, 2023 | Common Stock | SSaleDisposed | −14,816 | $173.42F8 | −$2,569,390.72 | 5,426,381 | Direct | |
| Jan 5, 2023 | Common Stock | SSaleDisposed | −13,460 | $174.38F9 | −$2,347,154.8 | 5,412,921 | Direct | |
| Jan 5, 2023 | Common Stock | SSaleDisposed | −975 | $175.10F10 | −$170,722.5 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 4, 2023 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 1,987,155 | Direct | |
| Jan 5, 2023 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 1,947,155 | 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 $175.75 to $176.68. 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 $176.76 to $177.75. 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.
- F4
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $177.77 to $178.76. 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.
- F5
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $178.78 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.
- F6
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $179.79 to $180.67. 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 $171.91 to $172.90. 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.
- F8
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $172.92 to $173.90. 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.
- F9
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $173.94 to $174.93. 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.
- F10
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $174.95 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.