Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Jan 13, 2023
- Accession no.
- 0001127602-23-001384
- Filed
- Jan 13, 2023
- Trade date
- Jan 11-12, 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 $14.8M. 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 11, 2023 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Jan 11, 2023 | Common Stock | SSaleDisposed | −7,780 | $183.15F2 | −$1,424,907 | 5,444,166 | Direct | |
| Jan 11, 2023 | Common Stock | SSaleDisposed | −5,578 | $184.43F3 | −$1,028,750.54 | 5,438,588 | Direct | |
| Jan 11, 2023 | Common Stock | SSaleDisposed | −15,957 | $185.14F4 | −$2,954,278.98 | 5,422,631 | Direct | |
| Jan 11, 2023 | Common Stock | SSaleDisposed | −10,685 | $186.50F5 | −$1,992,752.5 | 5,411,946 | Direct | |
| Jan 12, 2023 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Jan 12, 2023 | Common Stock | SSaleDisposed | −800 | $181.32F6 | −$145,056 | 5,451,146 | Direct | |
| Jan 12, 2023 | Common Stock | SSaleDisposed | −5,411 | $182.43F7 | −$987,128.73 | 5,445,735 | Direct | |
| Jan 12, 2023 | Common Stock | SSaleDisposed | −4,389 | $183.42F8 | −$805,030.38 | 5,441,346 | Direct | |
| Jan 12, 2023 | Common Stock | SSaleDisposed | −8,900 | $184.32F9 | −$1,640,448 | 5,432,446 | Direct | |
| Jan 12, 2023 | Common Stock | SSaleDisposed | −20,500 | $187.44F10 | −$3,842,520 | 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 11, 2023 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 1,907,155 | Direct | |
| Jan 12, 2023 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 1,867,155 | 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 $182.73 to $183.71. 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 $183.83 to $184.82. 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 $184.84 to $185.84. 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.
- F5
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $185.86 to $186.86. 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 $180.77 to $181.77. 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 $181.83 to $182.83. 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 $182.88 to $183.86. 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 $183.89 to $184.41. 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 $186.97 to $187.73. 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.