0001127602-21-025886.txt : 20210927 0001127602-21-025886.hdr.sgml : 20210927 20210927161127 ACCESSION NUMBER: 0001127602-21-025886 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210923 FILED AS OF DATE: 20210927 DATE AS OF CHANGE: 20210927 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: 211281861 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 2021-09-23 0001682852 Moderna, Inc. MRNA 0001760669 Hoge Stephen C/O MODERNA, INC. 200 TECHNOLOGY SQUARE CAMBRIDGE MA 02139 1 President Common Stock 2021-09-23 4 M 0 5000 10.90 A 1614597 D Common Stock 2021-09-23 4 M 0 10000 .99 A 1624597 D Common Stock 2021-09-23 4 S 0 5100 439.45 D 1619497 D Common Stock 2021-09-23 4 S 0 144 440.86 D 1619353 D Common Stock 2021-09-23 4 S 0 34 443.90 D 1619319 D Common Stock 2021-09-23 4 S 0 200 445.44 D 1619119 D Common Stock 2021-09-23 4 S 0 554 447.27 D 1618565 D Common Stock 2021-09-23 4 S 0 898 448.48 D 1617667 D Common Stock 2021-09-23 4 S 0 100 449.60 D 1617567 D Common Stock 2021-09-23 4 S 0 227 450.93 D 1617340 D Common Stock 2021-09-23 4 S 0 600 452.25 D 1616740 D Common Stock 2021-09-23 4 S 0 1798 453.26 D 1614942 D Common Stock 2021-09-23 4 S 0 1856 454.26 D 1613086 D Common Stock 2021-09-23 4 S 0 879 455.44 D 1612207 D Common Stock 2021-09-23 4 S 0 1554 456.45 D 1610653 D Common Stock 2021-09-23 4 S 0 1056 457.54 D 1609597 D Common Stock 2021-09-24 4 M 0 5000 10.90 A 1614597 D Common Stock 2021-09-24 4 S 0 5000 448.04 D 1609597 D Common Stock 4116 I By Valhalla, LLC Common Stock 151933 I By Trust Stock Option (Right to Buy) 10.90 2021-09-23 4 M 0 5000 0 D 2026-02-23 Common Stock 5000 231972 D Stock Option (Right to Buy) .99 2021-09-23 4 M 0 10000 0 D 2023-08-19 Common Stock 10000 317431 D Stock Option (Right to Buy) 10.90 2021-09-24 4 M 0 5000 0 D 2026-02-23 Common Stock 5000 226972 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 $439.45 to $439.57. 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 $440.83 to $440.94. 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 $445.16 to $445.71. 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 $446.92 to $447.55. 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 $448.00 to $448.92. 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 $450.70 to $451.14. 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 $451.79 to $452.78. 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 $452.80 to $453.70. 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 $453.83 to $454.80. 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 $454.90 to $455.89. 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 $455.91 to $456.90. 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 $457.06 to $457.90. 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 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. 25% of this option vested and became exercisable on February 23, 2017, with the remainder vesting in 12 equal quarterly installments thereafter. This option is fully vested and exercisable. /s/ Brian Sandstrom, as Attorney-in-Fact 2021-09-27