Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Feb 17, 2023
- Accession no.
- 0001127602-23-005814
- Filed
- Feb 17, 2023
- Trade date
- Feb 15-16, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 9 non-derivative transactions and 2 derivative transactions. Open-market sales total $13.9M. 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 15, 2023 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Feb 15, 2023 | Common Stock | SSaleDisposed | −10,327 | $173.68F2 | −$1,793,593.36 | 5,441,619 | Direct | |
| Feb 15, 2023 | Common Stock | SSaleDisposed | −13,375 | $174.77F3 | −$2,337,548.75 | 5,428,244 | Direct | |
| Feb 15, 2023 | Common Stock | SSaleDisposed | −14,812 | $175.85F4 | −$2,604,690.2 | 5,413,432 | Direct | |
| Feb 15, 2023 | Common Stock | SSaleDisposed | −1,486 | $176.73F5 | −$262,620.78 | 5,411,946 | Direct | |
| Feb 16, 2023 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Feb 16, 2023 | Common Stock | SSaleDisposed | −8,952 | $172.14F6 | −$1,540,997.28 | 5,442,994 | Direct | |
| Feb 16, 2023 | Common Stock | SSaleDisposed | −28,331 | $173.30F7 | −$4,909,762.3 | 5,414,663 | Direct | |
| Feb 16, 2023 | Common Stock | SSaleDisposed | −2,717 | $173.79F8 | −$472,187.43 | 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 15, 2023 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 1,507,155 | Direct | |
| Feb 16, 2023 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 1,467,155 | 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 $173.36 to $174.36. 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 $174.37 to $175.34. 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 $175.39 to $176.38. 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 $176.47 to $176.91. 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 $171.67 to $172.67. 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.
- F7
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $172.70 to $173.70. 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 $173.71 to $173.91. 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.