Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Feb 10, 2023
- Accession no.
- 0001127602-23-004449
- Filed
- Feb 10, 2023
- Trade date
- Feb 8-9, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 13 non-derivative transactions and 2 derivative transactions. Open-market sales total $13.3M. 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 8, 2023 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Feb 8, 2023 | Common Stock | SSaleDisposed | −9,589 | $164.65F2 | −$1,578,828.85 | 5,442,357 | Direct | |
| Feb 8, 2023 | Common Stock | SSaleDisposed | −19,648 | $165.77F3 | −$3,257,048.96 | 5,422,709 | Direct | |
| Feb 8, 2023 | Common Stock | SSaleDisposed | −4,543 | $166.51F4 | −$756,454.93 | 5,418,166 | Direct | |
| Feb 8, 2023 | Common Stock | SSaleDisposed | −2,772 | $168.01F5 | −$465,723.72 | 5,415,394 | Direct | |
| Feb 8, 2023 | Common Stock | SSaleDisposed | −2,848 | $168.64F6 | −$480,286.72 | 5,412,546 | Direct | |
| Feb 8, 2023 | Common Stock | SSaleDisposed | −600 | $169.40F7 | −$101,640 | 5,411,946 | Direct | |
| Feb 9, 2023 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Feb 9, 2023 | Common Stock | SSaleDisposed | −24,628 | $165.04F8 | −$4,064,605.12 | 5,427,318 | Direct | |
| Feb 9, 2023 | Common Stock | SSaleDisposed | −11,272 | $165.93F9 | −$1,870,362.96 | 5,416,046 | Direct | |
| Feb 9, 2023 | Common Stock | SSaleDisposed | −1,600 | $166.86F10 | −$266,976 | 5,414,446 | Direct | |
| Feb 9, 2023 | Common Stock | SSaleDisposed | −2,100 | $168.26F11 | −$353,346 | 5,412,346 | Direct | |
| Feb 9, 2023 | Common Stock | SSaleDisposed | −400 | $169.01F12 | −$67,604 | 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 8, 2023 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 1,587,155 | Direct | |
| Feb 9, 2023 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 1,547,155 | 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 $164.18 to $165.18. 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 $165.22 to $166.22. 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 $166.23 to $167.21. 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 $167.26 to $168.26. 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 $168.30 to $169.15. 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.
- F7
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 $169.48. 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 $164.62 to $165.69. 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.
- F9
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $165.67 to $166.65. 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 $166.68 to $167.32. 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.
- F11
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $167.73 to $168.57. 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 $168.89 to $169.08. 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.