0001127602-20-021916.txt : 20200721
0001127602-20-021916.hdr.sgml : 20200721
20200721203132
ACCESSION NUMBER: 0001127602-20-021916
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200717
FILED AS OF DATE: 20200721
DATE AS OF CHANGE: 20200721
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: 201040028
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
2020-07-17
0001682852
Moderna, Inc.
MRNA
0001443340
Bancel Stephane
C/O MODERNA, INC.
200 TECHNOLOGY SQUARE
CAMBRIDGE
MA
02139
1
1
Chief Executive Officer
Common Stock
2020-07-17
4
S
0
1967
83.42
D
506165
I
See Footnote
Common Stock
2020-07-17
4
S
0
800
84.48
D
505365
I
See Footnote
Common Stock
2020-07-17
4
S
0
1270
85.38
D
504095
I
See Footnote
Common Stock
2020-07-17
4
S
0
1865
87.34
D
502230
I
See Footnote
Common Stock
2020-07-17
4
S
0
900
88.53
D
501330
I
See Footnote
Common Stock
2020-07-17
4
S
0
825
89.46
D
500505
I
See Footnote
Common Stock
2020-07-17
4
S
0
645
90.99
D
499860
I
See Footnote
Common Stock
2020-07-17
4
S
0
1000
92.13
D
498860
I
See Footnote
Common Stock
2020-07-17
4
S
0
489
93.18
D
498371
I
See Footnote
Common Stock
2020-07-17
4
S
0
1185
94.24
D
497186
I
See Footnote
Common Stock
2020-07-17
4
S
0
100
94.84
D
497086
I
See Footnote
Common Stock
2020-07-20
4
S
0
200
79.39
D
9167104
I
See Footnote
Common Stock
2020-07-20
4
S
0
1000
80.85
D
9166104
I
See Footnote
Common Stock
2020-07-20
4
S
0
1004
82.19
D
9165100
I
See Footnote
Common Stock
2020-07-20
4
S
0
1422
82.94
D
9163678
I
See Footnote
Common Stock
2020-07-20
4
S
0
550
84.05
D
9163128
I
See Footnote
Common Stock
2020-07-20
4
S
0
1200
85.33
D
9161928
I
See Footnote
Common Stock
2020-07-20
4
S
0
650
86.18
D
9161278
I
See Footnote
Common Stock
2020-07-20
4
S
0
200
87.50
D
9161078
I
See Footnote
Common Stock
2020-07-20
4
S
0
100
90.58
D
9160978
I
See Footnote
Common Stock
6703858
D
Common Stock
7844880
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 $82.92 to $83.90. 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 $83.94 to $84.89. 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 $85.10 to $85.91. 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 $86.88 to $87.77. 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 $88.02 to $88.99. 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 $89.17 to $89.98. 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 $90.50 to $91.33. 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 $91.64 to $92.39 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 $92.66 to $93.52. 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 $93.82 to $94.76. 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 December 18, 2018, as amended on September 16, 2019.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $79.12 to $79.65. 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 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.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $80.38 to $81.25 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 $81.65 to $82.55. 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 $82.66 to $83.46. 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 $83.74 to $84.44. 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 $84.87 to $85.83. 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 $85.88 to $86.52. 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 $87.05 to $87.95. 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.
/s/ Lori Henderson, as Attorney-in-Fact
2020-07-21