Stephane Bancel - 02 Nov 2022 Form 4 Insider Report for Moderna, Inc. (MRNA)

Reporting relationship: Chief Executive Officer, Director
Issuer ticker: MRNA
Reported as of: 02 Nov 2022
Net transaction value: -$13,303,427
SEC form: 4
Accepted by SEC: 04 Nov 2022, 16:16:53 UTC
Prior SEC filing: 28 Oct 2022
Next SEC filing: 14 Nov 2022
Source filing: View source filing
Reporting owner signature: /s/ Brian Sandstrom, as Attorney-in-Fact

Key filing fact

Stephane Bancel filed Form 4 for Moderna, Inc. (MRNA) on 04 Nov 2022.

Key facts

This page summarizes Stephane Bancel's Form 4 filing for Moderna, Inc. (MRNA).
20 reported transactions and 2 derivative rows are listed below.
Accepted by SEC: 04 Nov 2022, 16:16.

Change

Previous filing in this sequence was filed on 28 Oct 2022.
Current net transaction value: -$13,303,427.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

MRNA transaction

Common Stock

Options Exercise

Transaction value: $39,600
Shares: +40,000
Change %: +0.74%
Price: $0.9900^*
Shares after: 5,451,946
Date: 02 Nov 2022
Ownership: Direct
Footnotes: F1

MRNA transaction

Common Stock

Sale

Transaction value: $362,596
Shares: -2,435
Change %: -0.04%
Price: $148.91
Shares after: 5,449,511
Date: 02 Nov 2022
Ownership: Direct
Footnotes: F1, F2

MRNA transaction

Common Stock

Sale

Transaction value: $853,107
Shares: -5,687
Change %: -0.1%
Price: $150.01
Shares after: 5,443,824
Date: 02 Nov 2022
Ownership: Direct
Footnotes: F1, F3

MRNA transaction

Common Stock

Sale

Transaction value: $105,686
Shares: -700
Change %: -0.01%
Price: $150.98
Shares after: 5,443,124
Date: 02 Nov 2022
Ownership: Direct
Footnotes: F1, F4

MRNA transaction

Common Stock

Sale

Transaction value: $163,584
Shares: -1,076
Change %: -0.02%
Price: $152.03
Shares after: 5,442,048
Date: 02 Nov 2022
Ownership: Direct
Footnotes: F1, F5

MRNA transaction

Common Stock

Sale

Transaction value: $2,355,146
Shares: -15,368
Change %: -0.28%
Price: $153.25
Shares after: 5,426,680
Date: 02 Nov 2022
Ownership: Direct
Footnotes: F1, F6

MRNA transaction

Common Stock

Sale

Transaction value: $2,091,489
Shares: -13,567
Change %: -0.25%
Price: $154.16
Shares after: 5,413,113
Date: 02 Nov 2022
Ownership: Direct
Footnotes: F1, F7

MRNA transaction

Common Stock

Sale

Transaction value: $180,757
Shares: -1,167
Change %: -0.02%
Price: $154.89
Shares after: 5,411,946
Date: 02 Nov 2022
Ownership: Direct
Footnotes: F1, F8

MRNA transaction

Common Stock

Options Exercise

Transaction value: $39,600
Shares: +40,000
Change %: +0.74%
Price: $0.9900^*
Shares after: 5,451,946
Date: 03 Nov 2022
Ownership: Direct
Footnotes: F1

MRNA transaction

Common Stock

Sale

Transaction value: $332,196
Shares: -2,309
Change %: -0.04%
Price: $143.87
Shares after: 5,449,637
Date: 03 Nov 2022
Ownership: Direct
Footnotes: F1, F9

MRNA transaction

Common Stock

Sale

Transaction value: $738,359
Shares: -5,096
Change %: -0.09%
Price: $144.89
Shares after: 5,444,541
Date: 03 Nov 2022
Ownership: Direct
Footnotes: F1, F10

MRNA transaction

Common Stock

Sale

Transaction value: $1,241,790
Shares: -8,520
Change %: -0.16%
Price: $145.75
Shares after: 5,436,021
Date: 03 Nov 2022
Ownership: Direct
Footnotes: F1, F11

MRNA transaction

Common Stock

Sale

Transaction value: $676,496
Shares: -4,613
Change %: -0.08%
Price: $146.65
Shares after: 5,431,408
Date: 03 Nov 2022
Ownership: Direct
Footnotes: F1, F12

MRNA transaction

Common Stock

Sale

Transaction value: $561,830
Shares: -3,800
Change %: -0.07%
Price: $147.85
Shares after: 5,427,608
Date: 03 Nov 2022
Ownership: Direct
Footnotes: F1, F13

MRNA transaction

Common Stock

Sale

Transaction value: $2,048,611
Shares: -13,762
Change %: -0.25%
Price: $148.86
Shares after: 5,413,846
Date: 03 Nov 2022
Ownership: Direct
Footnotes: F1, F14

MRNA transaction

Common Stock

Sale

Transaction value: $269,820
Shares: -1,800
Change %: -0.03%
Price: $149.90
Shares after: 5,412,046
Date: 03 Nov 2022
Ownership: Direct
Footnotes: F1, F15

MRNA transaction

Common Stock

Sale

Transaction value: $15,060
Shares: -100
Change %: -0%
Price: $150.60
Shares after: 5,411,946
Date: 03 Nov 2022
Ownership: Direct
Footnotes: F1

MRNA transaction

Common Stock

Sale

Transaction value: $1,386,100
Shares: -10,000
Change %: -0.15%
Price: $138.61
Shares after: 6,644,880
Date: 03 Nov 2022
Ownership: See Footnote
Footnotes: F16, F17

MRNA holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 9,050,372
Date: 02 Nov 2022
Ownership: See Footnote
Footnotes: F18

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

MRNA transaction Derivative

Stock Option (Right to Buy)

Options Exercise

Transaction value: $0
Shares: -40,000
Change %: -1.5%
Price: $0.000000
Shares after: 2,707,155
Date: 02 Nov 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 40,000
Exercise price: $0.9900
Footnotes: F1, F19

MRNA transaction Derivative

Stock Option (Right to Buy)

Options Exercise

Transaction value: $0
Shares: -40,000
Change %: -1.5%
Price: $0.000000
Shares after: 2,667,155
Date: 03 Nov 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 40,000
Exercise price: $0.9900
Footnotes: F1, F19

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 19 footnotes

Footnote F1

The reported transaction was effected pursuant to a Rule 10b5-1 trading plan adopted on December 28, 2018, as last amended on March 15, 2022, and as further described in the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission on May 24, 2022.

Footnote F2

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $148.40 to $149.34. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.

Footnote F3

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $149.41 to $150.38. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.

Footnote F4

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $150.43 to $151.30. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.

Footnote F5

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $151.46 to $152.43. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.

Footnote F6

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $152.61 to $153.60. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.

Footnote F7

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $153.63 to $154.63. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.

Footnote F8

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $154.68 to $155.00. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.

Footnote F9

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $143.24 to $144.22. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.

Footnote F10

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $144.28 to $145.27. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.

Footnote F11

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $145.30 to $146.30. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.

Footnote F12

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $146.31 to $147.31. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.

Footnote F13

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $147.35 to $148.35. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.

Footnote F14

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $148.36 to $149.33. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.

Footnote F15

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $149.47 to $150.40. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.

Footnote F16

This sale was effected pursuant to a Rule 10b5-1 trading plan adopted on December 18, 2018, as amended on September 16, 2019.

Footnote F17

These shares are owned directly by OCHA LLC ("OCHA"). The reporting person is the majority equity unit holder and the sole managing member of OCHA. The reporting person disclaims Section 16 beneficial ownership of these securities, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.

Footnote F18

These shares are owned directly by Boston Biotech Ventures, LLC ("Boston Biotech"). The reporting person is the majority equity unit holder and the sole managing member of Boston Biotech. The reporting person disclaims Section 16 beneficial ownership of these securities, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.

Footnote F19

This option is fully vested and exercisable.