0001127602-22-019932.txt : 20220729 0001127602-22-019932.hdr.sgml : 20220729 20220729164604 ACCESSION NUMBER: 0001127602-22-019932 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220727 FILED AS OF DATE: 20220729 DATE AS OF CHANGE: 20220729 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: 221121480 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 2022-07-27 0001682852 Moderna, Inc. MRNA 0001443340 Bancel Stephane C/O MODERNA, INC. 200 TECHNOLOGY SQUARE CAMBRIDGE MA 02139 1 1 Chief Executive Officer Common Stock 2022-07-27 4 M 0 40000 .99 A 5451946 D Common Stock 2022-07-27 4 S 0 6800 154.86 D 5445146 D Common Stock 2022-07-27 4 S 0 12262 155.75 D 5432884 D Common Stock 2022-07-27 4 S 0 12540 156.62 D 5420344 D Common Stock 2022-07-27 4 S 0 6089 157.59 D 5414255 D Common Stock 2022-07-27 4 S 0 2309 158.60 D 5411946 D Common Stock 2022-07-28 4 M 0 40000 .99 A 5451946 D Common Stock 2022-07-28 4 S 0 1098 152.39 D 5450848 D Common Stock 2022-07-28 4 S 0 1792 153.47 D 5449056 D Common Stock 2022-07-28 4 S 0 2968 154.07 D 5446088 D Common Stock 2022-07-28 4 S 0 1471 155.83 D 5444617 D Common Stock 2022-07-28 4 S 0 8585 156.61 D 5436032 D Common Stock 2022-07-28 4 S 0 22372 157.55 D 5413660 D Common Stock 2022-07-28 4 S 0 1714 158.31 D 5411946 D Common Stock 2022-07-28 4 S 0 10000 157.00 D 6784880 I See Footnote Common Stock 9050372 I See Footnote Stock Option (Right to Buy) .99 2022-07-27 4 M 0 40000 0 D 2023-08-19 Common Stock 40000 3827155 D Stock Option (Right to Buy) .99 2022-07-28 4 M 0 40000 0 D 2023-08-19 Common Stock 40000 3787155 D The reported transaction was effected pursuant to a Rule 10b5-1 trading plan adopted on December 28, 2018, as last amended on March 15, 2022, and as further described in the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission on May 24, 2022. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $154.20 to $155.20. 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 $155.21 to $156.21. 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 $156.22 to $157.19. 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 $157.25 to $158.22. 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 $158.32 to $159.07. 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 $151.91 to $152.88. 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 $152.93 to $153.92. 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 $153.95 to $154.86. 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 $155.06 to $156.06. 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 $156.07 to $157.07. 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 $157.08 to $158.03. 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 $158.09 to $158.62. 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. 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. This option is fully vested and exercisable. /s/ Brian Sandstrom, as Attorney-in-Fact 2022-07-29