Filing Details
- Accession Number:
- 0001127602-23-016284
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-05-19 16:12:36
- Reporting Period:
- 2023-05-17
- Accepted Time:
- 2023-05-19 16:12:36
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1682852 | Moderna Inc. | MRNA | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1443340 | Stephane Bancel | C/O Moderna, Inc. 200 Technology Square Cambridge MA 02139 | Chief Executive Officer | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2023-05-17 | 40,000 | $0.99 | 5,451,946 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-05-17 | 2,333 | $123.22 | 5,449,613 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-05-17 | 9,350 | $124.24 | 5,440,263 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-05-17 | 11,547 | $125.34 | 5,428,716 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-05-17 | 16,248 | $126.17 | 5,412,468 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-05-17 | 522 | $126.86 | 5,411,946 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-05-18 | 40,000 | $0.99 | 5,451,946 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-05-18 | 28,476 | $123.53 | 5,423,470 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-05-18 | 10,653 | $124.31 | 5,412,817 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-05-18 | 871 | $125.24 | 5,411,946 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-05-17 | 40,000 | $0.00 | 40,000 | $0.99 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-05-18 | 40,000 | $0.00 | 40,000 | $0.99 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 467,155 | 2023-08-19 | No | 4 | M | Direct | |
| 427,155 | 2023-08-19 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 9,050,372 | Indirect | See Footnote |
| Common Stock | 6,564,880 | Indirect | See Footnote |
Footnotes
- 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.
- 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.
- 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.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $122.62 to $123.62. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $123.68 to $124.68. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $124.78 to $125.78. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $125.79 to $126.78. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $126.82 to $126.92. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $123.00 to $124.00. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $124.01 to $125.01. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $125.03 to $125.36. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- This option is fully vested and exercisable.
Billionaire Hedge Funds
