Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Feb 24, 2023
- Accession no.
- 0001127602-23-007042
- Filed
- Feb 24, 2023
- Trade date
- Feb 22-23, 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 $12.2M. 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 22, 2023 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Feb 22, 2023 | Common Stock | SSaleDisposed | −10,472 | $157.87F2 | −$1,653,214.64 | 5,441,474 | Direct | |
| Feb 22, 2023 | Common Stock | SSaleDisposed | −20,303 | $158.53F3 | −$3,218,634.59 | 5,421,171 | Direct | |
| Feb 22, 2023 | Common Stock | SSaleDisposed | −8,725 | $159.59F4 | −$1,392,422.75 | 5,412,446 | Direct | |
| Feb 22, 2023 | Common Stock | SSaleDisposed | −500 | $160.28F5 | −$80,140 | 5,411,946 | Direct | |
| Feb 23, 2023 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Feb 23, 2023 | Common Stock | SSaleDisposed | −7,314 | $144.45F6 | −$1,056,507.3 | 5,444,632 | Direct | |
| Feb 23, 2023 | Common Stock | SSaleDisposed | −7,486 | $145.25F7 | −$1,087,341.5 | 5,437,146 | Direct | |
| Feb 23, 2023 | Common Stock | SSaleDisposed | −12,890 | $146.75F8 | −$1,891,607.5 | 5,424,256 | Direct | |
| Feb 23, 2023 | Common Stock | SSaleDisposed | −8,256 | $147.43F9 | −$1,217,182.08 | 5,416,000 | Direct | |
| Feb 23, 2023 | Common Stock | SSaleDisposed | −3,754 | $148.27F10 | −$556,605.58 | 5,412,246 | Direct | |
| Feb 23, 2023 | Common Stock | SSaleDisposed | −300 | $149.86F11 | −$44,958 | 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 22, 2023 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 1,427,155 | Direct | |
| Feb 23, 2023 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 1,387,155 | 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 $157.13 to $158.13. 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 $158.14 to $159.14. 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 $159.15 to $160.11. 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 $160.19 to $160.42. 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.
- F6
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $143.81 to $144.80. 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 $144.84 to $145.79. 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 $146.03 to $147.03. 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 $147.04 to $148.03. 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 $148.05 to $148.76. 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 $149.42 to $150.21. 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.