0001127602-21-009728.txt : 20210308 0001127602-21-009728.hdr.sgml : 20210308 20210308171225 ACCESSION NUMBER: 0001127602-21-009728 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210305 FILED AS OF DATE: 20210308 DATE AS OF CHANGE: 20210308 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: 21722877 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 2021-03-05 0001682852 Moderna, Inc. MRNA 0001443340 Bancel Stephane C/O MODERNA, INC. 200 TECHNOLOGY SQUARE CAMBRIDGE MA 02139 1 1 Chief Executive Officer Common Stock 2021-03-05 4 S 0 800 122.10 D 142814 I See Footnote Common Stock 2021-03-05 4 S 0 1500 123.50 D 141314 I See Footnote Common Stock 2021-03-05 4 S 0 500 124.37 D 140814 I See Footnote Common Stock 2021-03-05 4 S 0 300 125.63 D 140514 I See Footnote Common Stock 2021-03-05 4 S 0 900 127.40 D 139614 I See Footnote Common Stock 2021-03-05 4 S 0 1050 128.46 D 138564 I See Footnote Common Stock 2021-03-05 4 S 0 1370 129.22 D 137194 I See Footnote Common Stock 2021-03-05 4 S 0 2325 130.43 D 134869 I See Footnote Common Stock 2021-03-05 4 S 0 1558 131.35 D 133311 I See Footnote Common Stock 2021-03-05 4 S 0 643 132.56 D 132668 I See Footnote Common Stock 2021-03-05 4 S 0 100 133.50 D 132568 I See Footnote Common Stock 6422868 D Common Stock 7514880 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 $121.59 to $122.44. 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 $123.01 to $123.99. 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 $124.05 to $124.69. 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 $125.47 to $125.87. 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 $126.63 to $127.58. 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 $127.86 to $128.85. 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 $128.88 to $129.72. 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 $129.89 to $130.82. 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 $130.91 to $131.78. 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 $132.18 to $133.15. 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/ Brian Sandstrom, as Attorney-in-Fact 2021-03-08