Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Jan 20, 2023
- Accession no.
- 0001127602-23-001932
- Filed
- Jan 20, 2023
- Trade date
- Jan 18-19, 2023
- 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 $15.6M. 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 18, 2023 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −9,821 | $195.31F2 | −$1,918,139.51 | 5,442,125 | Direct | |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −5,948 | $196.84F3 | −$1,170,804.32 | 5,436,177 | Direct | |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −15,554 | $197.58F4 | −$3,073,159.32 | 5,420,623 | Direct | |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −851 | $198.46F5 | −$168,889.46 | 5,419,772 | Direct | |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −1,475 | $199.94F6 | −$294,911.5 | 5,418,297 | Direct | |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −1,501 | $200.82F7 | −$301,430.82 | 5,416,796 | Direct | |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −900 | $202.20F8 | −$181,980 | 5,415,896 | Direct | |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −1,020 | $203.06F9 | −$207,121.2 | 5,414,876 | Direct | |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −300 | $204.13F10 | −$61,239 | 5,414,576 | Direct | |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −1,758 | $205.20F11 | −$360,741.6 | 5,412,818 | Direct | |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −872 | $206.50F12 | −$180,068 | 5,411,946 | Direct | |
| Jan 19, 2023 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Jan 19, 2023 | Common Stock | SSaleDisposed | −9,341 | $191.16F13 | −$1,785,625.56 | 5,442,605 | Direct | |
| Jan 19, 2023 | Common Stock | SSaleDisposed | −18,438 | $191.88F14 | −$3,537,883.44 | 5,424,167 | Direct | |
| Jan 19, 2023 | Common Stock | SSaleDisposed | −9,517 | $192.84F15 | −$1,835,258.28 | 5,414,650 | Direct | |
| Jan 19, 2023 | Common Stock | SSaleDisposed | −2,704 | $193.61F16 | −$523,521.44 | 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 18, 2023 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 1,827,155 | Direct | |
| Jan 19, 2023 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 1,787,155 | 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 $195.15 to $196.15. 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 $196.18 to $197.15. 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 $197.19 to $198.19. 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 $198.24 to $198.99. 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 $199.47 to $200.23. 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 $200.48 to $201.48. 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 $201.62 to $202.61. 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 $202.63 to $203.60. 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 $203.69 to $204.69. 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 $204.78 to $205.75. 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.
- F12
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $206.14 to $207.00. 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 $190.41 to $191.41. 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.
- F14
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $191.42 to $192.42. 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.
- F15
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $192.43 to $193.43. 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.
- F16
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $193.44 to $193.97. 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.