Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Feb 3, 2023
- Accession no.
- 0001127602-23-003346
- Filed
- Feb 3, 2023
- Trade date
- Feb 1-2, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 16 non-derivative transactions and 2 derivative transactions. Open-market sales total $13.8M. 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 1, 2023 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Feb 1, 2023 | Common Stock | SSaleDisposed | −5,848 | $167.97F2 | −$982,288.56 | 5,446,098 | Direct | |
| Feb 1, 2023 | Common Stock | SSaleDisposed | −16,742 | $168.75F3 | −$2,825,212.5 | 5,429,356 | Direct | |
| Feb 1, 2023 | Common Stock | SSaleDisposed | −6,024 | $169.85F4 | −$1,023,176.4 | 5,423,332 | Direct | |
| Feb 1, 2023 | Common Stock | SSaleDisposed | −1,629 | $170.67F5 | −$278,021.43 | 5,421,703 | Direct | |
| Feb 1, 2023 | Common Stock | SSaleDisposed | −600 | $171.89F6 | −$103,134 | 5,421,103 | Direct | |
| Feb 1, 2023 | Common Stock | SSaleDisposed | −1,957 | $173.03F7 | −$338,619.71 | 5,419,146 | Direct | |
| Feb 1, 2023 | Common Stock | SSaleDisposed | −2,503 | $174.21F8 | −$436,047.63 | 5,416,643 | Direct | |
| Feb 1, 2023 | Common Stock | SSaleDisposed | −4,697 | $174.82F9 | −$821,129.54 | 5,411,946 | Direct | |
| Feb 2, 2023 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Feb 2, 2023 | Common Stock | SSaleDisposed | −2,001 | $171.11F10 | −$342,391.11 | 5,449,945 | Direct | |
| Feb 2, 2023 | Common Stock | SSaleDisposed | −1,589 | $172.04F11 | −$273,371.56 | 5,448,356 | Direct | |
| Feb 2, 2023 | Common Stock | SSaleDisposed | −8,908 | $173.19F12 | −$1,542,776.52 | 5,439,448 | Direct | |
| Feb 2, 2023 | Common Stock | SSaleDisposed | −10,263 | $174.25F13 | −$1,788,327.75 | 5,429,185 | Direct | |
| Feb 2, 2023 | Common Stock | SSaleDisposed | −15,790 | $175.03F14 | −$2,763,723.7 | 5,413,395 | Direct | |
| Feb 2, 2023 | Common Stock | SSaleDisposed | −1,449 | $175.79F15 | −$254,719.71 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 1, 2023 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 1,667,155 | Direct | |
| Feb 2, 2023 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 1,627,155 | 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 $167.32 to $168.32. 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 $168.33 to $169.33. 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 $169.35 to $170.35. 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 $170.40 to $171.28. 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 $171.57 to $172.28. 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 $172.61 to $173.45. 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 $173.67 to $174.60. 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.
- F9
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $174.68 to $175.63. 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.
- F10
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $170.52 to $171.48. 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.
- F11
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $171.54 to $172.52. 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 $172.55 to $173.49. 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 $173.60 to $174.60. 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.
- F14
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $174.62 to $175.62. 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 $175.64 to $176.10. 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.