0001127602-21-012027.txt : 20210325 0001127602-21-012027.hdr.sgml : 20210325 20210325161347 ACCESSION NUMBER: 0001127602-21-012027 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210323 FILED AS OF DATE: 20210325 DATE AS OF CHANGE: 20210325 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hoge Stephen CENTRAL INDEX KEY: 0001760669 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38753 FILM NUMBER: 21772506 MAIL ADDRESS: STREET 1: C/O MODERNA, INC. STREET 2: 200 TECHNOLOGY SQUARE CITY: CAMBRIDGE STATE: MA ZIP: 02139 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 2021-03-23 0001682852 Moderna, Inc. MRNA 0001760669 Hoge Stephen C/O MODERNA, INC. 200 TECHNOLOGY SQUARE CAMBRIDGE MA 02139 1 President Common Stock 2021-03-23 4 M 0 5000 10.90 A 1614597 D Common Stock 2021-03-23 4 M 0 10000 .99 A 1624597 D Common Stock 2021-03-23 4 S 0 641 136.96 D 1623956 D Common Stock 2021-03-23 4 S 0 2139 138.25 D 1621817 D Common Stock 2021-03-23 4 S 0 1873 139.19 D 1619944 D Common Stock 2021-03-23 4 S 0 1702 140.16 D 1618242 D Common Stock 2021-03-23 4 S 0 1100 141.22 D 1617142 D Common Stock 2021-03-23 4 S 0 859 141.98 D 1616283 D Common Stock 2021-03-23 4 S 0 600 143.44 D 1615683 D Common Stock 2021-03-23 4 S 0 286 144.19 D 1615397 D Common Stock 2021-03-23 4 S 0 5800 145.50 D 1609597 D Common Stock 2021-03-24 4 M 0 5000 10.90 A 1614597 D Common Stock 2021-03-24 4 S 0 5000 137.07 D 1609597 D Common Stock 4116 I By Valhalla, LLC Common Stock 151933 I By Trust Stock Option (Right to Buy) .99 2021-03-23 4 M 0 10000 0 D 2023-08-19 Common Stock 10000 557431 D Stock Option (Right to Buy) 10.90 2021-03-23 4 M 0 5000 0 D 2026-02-23 Common Stock 5000 351972 D Stock Option (Right to Buy) 10.90 2021-03-24 4 M 0 5000 0 D 2026-02-23 Common Stock 5000 346972 D The reported transaction was effected pursuant to a Rule 10b5-1 trading plan adopted on December 27, 2018, as amended on January 7, 2021. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $136.49 to $137.37. 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 $137.64 to $138.64. 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 $138.67 to $139.64. 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 $139.68 to $140.68. 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 $140.77 to $141.73. 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 $141.78 to $142.51 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 $142.88 to $143.79. 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 $143.91 to $144.41. 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 $144.92 to $145.79. 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 Dr. Hoge's spouse and children, of which his spouse is a trustee. 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 option is fully vested and exercisable. 25% of this option vested and became exercisable on February 23, 2017, with the remainder vesting in 12 equal quarterly installments thereafter. /s/ Brian Sandstrom, as Attorney-in-Fact 2021-03-25