Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Jan 27, 2023
- Accession no.
- 0001127602-23-002450
- Filed
- Jan 27, 2023
- Trade date
- Jan 25-26, 2023
- 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 $15.3M. 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 25, 2023 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Jan 25, 2023 | Common Stock | SSaleDisposed | −6,790 | $190.65F2 | −$1,294,513.5 | 5,445,156 | Direct | |
| Jan 25, 2023 | Common Stock | SSaleDisposed | −6,260 | $191.51F3 | −$1,198,852.6 | 5,438,896 | Direct | |
| Jan 25, 2023 | Common Stock | SSaleDisposed | −19,850 | $192.32F4 | −$3,817,552 | 5,419,046 | Direct | |
| Jan 25, 2023 | Common Stock | SSaleDisposed | −7,100 | $193.39F5 | −$1,373,069 | 5,411,946 | Direct | |
| Jan 26, 2023 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Jan 26, 2023 | Common Stock | SSaleDisposed | −4,295 | $188.09F6 | −$807,846.55 | 5,447,651 | Direct | |
| Jan 26, 2023 | Common Stock | SSaleDisposed | −3,835 | $189.21F7 | −$725,620.35 | 5,443,816 | Direct | |
| Jan 26, 2023 | Common Stock | SSaleDisposed | −8,823 | $190.27F8 | −$1,678,752.21 | 5,434,993 | Direct | |
| Jan 26, 2023 | Common Stock | SSaleDisposed | −15,847 | $191.08F9 | −$3,028,044.76 | 5,419,146 | Direct | |
| Jan 26, 2023 | Common Stock | SSaleDisposed | −3,289 | $192.16F10 | −$632,014.24 | 5,415,857 | Direct | |
| Jan 26, 2023 | Common Stock | SSaleDisposed | −3,911 | $192.92F11 | −$754,510.12 | 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 25, 2023 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 1,747,155 | Direct | |
| Jan 26, 2023 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 1,707,155 | 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 $189.92 to $190.92. 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.
- F3
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $190.94 to $191.93. 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.
- F4
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $191.95 to $192.95. 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.
- F5
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $192.96 to $193.82. 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.
- F6
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $187.62 to $188.54. 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 $188.64 to $189.63. 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 $189.65 to $190.65. 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 $190.66 to $191.65. 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 $191.67 to $192.67. 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.
- F11
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $192.68 to $193.41. 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.