Bancel Stephane's Form 4 filing
Moderna, Inc. (MRNA) · filed Mar 10, 2023
- Accession no.
- 0001127602-23-009743
- Filed
- Mar 10, 2023
- Trade date
- Mar 8-9, 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 $11.2M. 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 8, 2023 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Mar 8, 2023 | Common Stock | SSaleDisposed | −26,018 | $141.18F4 | −$3,673,221.24 | 5,425,928 | Direct | |
| Mar 8, 2023 | Common Stock | SSaleDisposed | −13,982 | $141.76F5 | −$1,982,088.32 | 5,411,946 | Direct | |
| Mar 9, 2023 | Common Stock | MOption exerciseAcquired | +40,000 | $0.99 | +$39,600 | 5,451,946 | Direct | |
| Mar 9, 2023 | Common Stock | SSaleDisposed | −11,461 | $137.25F6 | −$1,573,022.25 | 5,440,485 | Direct | |
| Mar 9, 2023 | Common Stock | SSaleDisposed | −7,739 | $137.97F7 | −$1,067,749.83 | 5,432,746 | Direct | |
| Mar 9, 2023 | Common Stock | SSaleDisposed | −3,896 | $139.24F8 | −$542,479.04 | 5,428,850 | Direct | |
| Mar 9, 2023 | Common Stock | SSaleDisposed | −5,563 | $140.23F9 | −$780,099.49 | 5,423,287 | Direct | |
| Mar 9, 2023 | Common Stock | SSaleDisposed | −9,232 | $141.30F10 | −$1,304,481.6 | 5,414,055 | Direct | |
| Mar 9, 2023 | Common Stock | SSaleDisposed | −2,109 | $142.26F11 | −$300,026.34 | 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 8, 2023 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 1,267,155 | Direct | |
| Mar 9, 2023 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 1,227,155 | 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 $140.54 to $141.54. 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 $141.55 to $141.50. 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 $136.60 to $137.59. 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 $137.61 to $138.55. 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 $138.65 to $139.65. 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.
- F9
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $139.82 to $140.81. 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 $140.84 to $141.84. 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 $141.88 to $142.60. 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.