0001127602-21-004357.txt : 20210208
0001127602-21-004357.hdr.sgml : 20210208
20210208161334
ACCESSION NUMBER: 0001127602-21-004357
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210205
FILED AS OF DATE: 20210208
DATE AS OF CHANGE: 20210208
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Bancel Stephane
CENTRAL INDEX KEY: 0001443340
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38753
FILM NUMBER: 21601567
MAIL ADDRESS:
STREET 1: 320 BENT STREET
CITY: CAMBRIDGE
STATE: MA
ZIP: 02141
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
form4.xml
PRIMARY DOCUMENT
X0306
4
2021-02-05
0001682852
Moderna, Inc.
MRNA
0001443340
Bancel Stephane
C/O MODERNA, INC.
200 TECHNOLOGY SQUARE
CAMBRIDGE
MA
02139
1
1
Chief Executive Officer
Common Stock
2021-02-05
4
S
0
400
171.48
D
187398
I
See Footnote
Common Stock
2021-02-05
4
S
0
1200
172.44
D
186198
I
See Footnote
Common Stock
2021-02-05
4
S
0
2600
173.59
D
183598
I
See Footnote
Common Stock
2021-02-05
4
S
0
2700
174.72
D
180898
I
See Footnote
Common Stock
2021-02-05
4
S
0
2641
175.78
D
178257
I
See Footnote
Common Stock
2021-02-05
4
S
0
1505
176.69
D
176752
I
See Footnote
Common Stock
6463868
D
Common Stock
7554880
I
See Footnote
Common Stock
9050372
I
See Footnote
This sale was effected pursuant to a Rule 10b5-1 trading plan adopted on December 28, 2018.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $170.83 to $171.72. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
These shares are owned directly by a trust for the benefit of Mr. Bancel's children and of which the trustee is an independent institution. The reporting person disclaims Section 16 beneficial ownership of these securities, 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 price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $171.99 to $172.80. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $173.05 to $174.00. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $174.29 to $175.26. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $175.30 to $176.27. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $176.36 to $177.10. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
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.
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.
/s/ Lori Henderson, as Attorney-in-Fact
2021-02-08