Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Mar 3, 2023
- Accession no.
- 0001127602-23-008679
- Filed
- Mar 3, 2023
- Trade date
- Mar 1-2, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 10 non-derivative transactions and 2 derivative transactions. Open-market sales total $10.9M. 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 1, 2023 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Mar 1, 2023 | Common Stock | SSaleDisposed | −11,319 | $134.34F4 | −$1,520,594.46 | 5,440,627 | Direct | |
| Mar 1, 2023 | Common Stock | SSaleDisposed | −21,938 | $135.26F5 | −$2,967,333.88 | 5,418,689 | Direct | |
| Mar 1, 2023 | Common Stock | SSaleDisposed | −5,593 | $136.17F6 | −$761,598.81 | 5,413,096 | Direct | |
| Mar 1, 2023 | Common Stock | SSaleDisposed | −1,150 | $137.03F7 | −$157,584.5 | 5,411,946 | Direct | |
| Mar 2, 2023 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Mar 2, 2023 | Common Stock | SSaleDisposed | −8,700 | $136.44F8 | −$1,187,028 | 5,443,246 | Direct | |
| Mar 2, 2023 | Common Stock | SSaleDisposed | −17,541 | $137.42F9 | −$2,410,484.22 | 5,425,705 | Direct | |
| Mar 2, 2023 | Common Stock | SSaleDisposed | −13,659 | $138.27F10 | −$1,888,629.93 | 5,412,046 | Direct | |
| Mar 2, 2023 | Common Stock | SSaleDisposed | −100 | $139.03 | −$13,903 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 1, 2023 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 1,347,155 | Direct | |
| Mar 2, 2023 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 1,307,155 | 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.
- F4
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $133.79 to $134.79. 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.
- F5
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $134.80 to $135.79. 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.
- F6
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $135.81 to $136.80. 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 $136.82 to $137.58. 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 $135.88 to $136.88. 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 $136.89 to $137.89. 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 $137.90 to $138.90. 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.