X0306
4
2019-11-08
0001682852
Moderna, Inc.
MRNA
0001443340
Bancel Stephane
C/O MODERNA, INC.
200 TECHNOLOGY SQUARE
CAMBRIDGE
MA
02139
1
1
Chief Executive Officer
Common Stock
2019-11-08
4
S
0
11046
17.38
D
894742
I
See Footnote
Common Stock
6709368
D
Common Stock
7974603
I
See Footnote
Common Stock
9249970
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 $17.19 to $17.50. 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.
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/ Jeffrey Cerio, as Attorney-in-Fact
2019-11-12