0001209191-21-014054.txt : 20210224 0001209191-21-014054.hdr.sgml : 20210224 20210224203128 ACCESSION NUMBER: 0001209191-21-014054 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210224 FILED AS OF DATE: 20210224 DATE AS OF CHANGE: 20210224 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AFEYAN NOUBAR CENTRAL INDEX KEY: 0001222012 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38753 FILM NUMBER: 21675947 MAIL ADDRESS: STREET 1: C/O FLAGSHIP PIONEERING, INC. STREET 2: 55 CAMBRIDGE PARKWAY, SUITE 800E CITY: CAMBRIDGE STATE: MA ZIP: 02142 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Moderna, Inc. CENTRAL INDEX KEY: 0001682852 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 813467528 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 200 TECHNOLOGY SQUARE CITY: CAMBRIDGE STATE: MA ZIP: 02139 BUSINESS PHONE: 6177146500 MAIL ADDRESS: STREET 1: 200 TECHNOLOGY SQUARE CITY: CAMBRIDGE STATE: MA ZIP: 02139 FORMER COMPANY: FORMER CONFORMED NAME: Moderna Therapeutics, Inc. DATE OF NAME CHANGE: 20160822 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-02-24 0 0001682852 Moderna, Inc. MRNA 0001222012 AFEYAN NOUBAR 55 CAMBRIDGE PARKWAY, SUITE 800E CAMBRIDGE MA 02142 1 0 0 0 Common Stock 2021-02-24 4 S 0 358528 144.1696 D 14264631 I By Flagship Ventures Fund IV, L.P. and Flagship Ventures Fund IV-Rx, L.P. Common Stock 2021-02-24 4 S 0 354358 145.0415 D 13910273 I By Flagship Ventures Fund IV, L.P. and Flagship Ventures Fund IV-Rx, L.P. Common Stock 2021-02-24 4 S 0 351112 146.0539 D 13559161 I By Flagship Ventures Fund IV, L.P. and Flagship Ventures Fund IV-Rx, L.P. Common Stock 2021-02-24 4 S 0 288656 147.1688 D 13270505 I By Flagship Ventures Fund IV, L.P. and Flagship Ventures Fund IV-Rx, L.P. Common Stock 2021-02-24 4 S 0 267038 148.0086 D 13003467 I By Flagship Ventures Fund IV, L.P. and Flagship Ventures Fund IV-Rx, L.P. Common Stock 2021-02-24 4 S 0 99005 148.9093 D 12904462 I By Flagship Ventures Fund IV, L.P. and Flagship Ventures Fund IV-Rx, L.P. Common Stock 2021-02-24 4 S 0 35000 150.41 D 12869462 I By Flagship Ventures Fund IV, L.P. and Flagship Ventures Fund IV-Rx, L.P. Common Stock 11464359 I By Flagship VentureLabs IV LLC and Flagship Pioneering, Inc. Common Stock 2101703 D These sales were effected by Flagship Ventures Fund IV, L.P. ("Flagship Fund IV") and Flagship Ventures Fund IV-Rx, L.P. ("Flagship Fund IV-Rx") pursuant to Rule 10b5-1 trading plans adopted on December 23, 2020. Represents 301,164 shares sold by Flagship Fund IV and 57,364 shares sold by Flagship Fund IV-Rx. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $143.59 to $144.58, inclusive. 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. Shares held directly by Flagship Fund IV and Flagship Fund IV-Rx. Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP") is the general partner of each of Flagship Fund IV and Flagship Fund IV-Rx. The reporting person is the sole manager of Flagship Fund IV GP and disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Represents 297,660 shares sold by Flagship Fund IV and 56,698 shares sold by Flagship Fund IV-Rx. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $144.59 to $145.58, inclusive. 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. Represents 294,934 shares sold by Flagship Fund IV and 56,178 shares sold by Flagship Fund IV-Rx. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $145.59 to $146.58, inclusive. 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. Represents 242,471 shares sold by Flagship Fund IV and 46,185 shares sold by Flagship Fund IV-Rx. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $146.59 to $147.58, inclusive. 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. Represents 224,312 shares sold by Flagship Fund IV and 42,726 shares sold by Flagship Fund IV-Rx. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $147.59 to $148.58, inclusive. 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. Represents 83,164 shares sold by Flagship Fund IV and 15,841 shares sold by Flagship Fund IV-Rx. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $148.59 to $149.48, inclusive. 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. Represents 29,400 shares sold by Flagship Fund IV and 5,600 shares sold by Flagship Fund IV-Rx. Following the transactions reported herein, 8,943,918 shares are held directly by Flagship Fund IV and 3,925,544 shares are held directly by Flagship Fund IV-Rx. 11,460,435 shares are held directly by Flagship VentureLabs IV LLC ("VentureLabs IV") and 3,924 shares are held directly by Flagship Pioneering, Inc. ("Flagship Pioneering"). Flagship Fund IV is a member of VentureLabs IV and also serves as its manager. Flagship Fund IV GP is the general partner of Flagship Fund IV. The reporting person is the sole manager of Flagship Fund IV GP and CEO and sole stockholder of Flagship Pioneering and disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Noubar B. Afeyan, Ph.D. By: /s/ Noubar B. Afeyan, Ph.D. 2021-02-24