0001127602-20-019269.txt : 20200609 0001127602-20-019269.hdr.sgml : 20200609 20200609193532 ACCESSION NUMBER: 0001127602-20-019269 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200529 FILED AS OF DATE: 20200609 DATE AS OF CHANGE: 20200609 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bancel Stephane CENTRAL INDEX KEY: 0001443340 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-38753 FILM NUMBER: 20953218 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/A 1 form4a.xml PRIMARY DOCUMENT X0306 4/A 2020-05-29 2020-06-02 0001682852 Moderna, Inc. MRNA 0001443340 Bancel Stephane C/O MODERNA, INC. 200 TECHNOLOGY SQUARE CAMBRIDGE MA 02139 1 1 Chief Executive Officer Common Stock 2020-05-29 4 S 0 2763 57.49 D 582691 I See Footnote Common Stock 2020-05-29 4 S 0 7820 58.03 D 574871 I See Footnote Common Stock 2020-05-29 4 S 0 463 61.01 D 574408 I See Footnote Common Stock 2020-06-01 4 S 0 4878 62.67 D 9193839 I See Footnote Common Stock 6734858 D Common Stock 7884880 I See Footnote This sale was effected pursuant to a Rule 10b5-1 trading plan adopted on 12/28/2018. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $56.72 to $57.72. 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 $57.75 to $58.60. 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 $60.12 to $61.38. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. This sale was effected pursuant to a Rule 10b5-1 trading plan adopted on 12/18/2018, as amended on 9/16/2019. 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. This filing amends and restates the original Form 4 filed by the reporting person on June 2, 2020 (the "Original Form 4") to reflect amendments to the line items relating to the reporting person and OCHA dated June 1, 2020. The broker administering the Rule 10b5-1 trading plans for the reporting person and OCHA has advised the reporting person that the June 1, 2020 transactions by the reporting person and OCHA listed on the Original Form 4 were the result of an error by the broker. The broker has unwound these transactions through the broker's error account and therefore the transactions did not occur for purposes of the reporting person's and OCHA's accounts. /s/ Lori Henderson, as Attorney-in-Fact 2020-06-09