0001387131-20-001283.txt : 20200211 0001387131-20-001283.hdr.sgml : 20200211 20200211132015 ACCESSION NUMBER: 0001387131-20-001283 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20200211 DATE AS OF CHANGE: 20200211 GROUP MEMBERS: DAVID C. OTT GROUP MEMBERS: O. ANDREAS HALVORSEN GROUP MEMBERS: ROSE S. SHABET GROUP MEMBERS: VIKING GLOBAL EQUITIES II LP GROUP MEMBERS: VIKING GLOBAL EQUITIES MASTER LTD. GROUP MEMBERS: VIKING GLOBAL PERFORMANCE LLC GROUP MEMBERS: VIKING LONG FUND GP LLC GROUP MEMBERS: VIKING LONG FUND MASTER LTD. SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-90749 FILM NUMBER: 20595612 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: VIKING GLOBAL INVESTORS LP CENTRAL INDEX KEY: 0001103804 IRS NUMBER: 134055118 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 55 RAILROAD AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 212-672-7050 MAIL ADDRESS: STREET 1: 55 RAILROAD AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 SC 13G/A 1 mdna-sc13ga_123119.htm AMENDMENT TO FORM SC 13G

 

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 

SCHEDULE 13G/A 


 

INFORMATION TO BE INCLUDED IN STATEMENTS PURSUANT TO RULES 13d-

1(b),(c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2

UNDER THE SECURITIES EXCHANGE ACT OF 1934*

 

(Amendment No. 2)

 

Moderna, Inc.

(Name of Issuer)

 

Common stock, $0.0001 par value per share 

(Title of Class of Securities)

 

60770K107 

(CUSIP Number)

 

December 31, 2019 

 

(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

☐ Rule 13d-1(b) 

☒ Rule 13d-1(c) 

☐ Rule 13d-1(d) 

 

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

 

 

CUSIP No. 60770K107   13G/A Page 2 of 18 Pages
1

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)

Viking Global Investors LP

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ☐
(b) ☒

3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

5

SOLE VOTING POWER

 

0

 

6

SHARED VOTING POWER


3,321,755

7

SOLE DISPOSITIVE POWER


0

8

SHARED DISPOSITIVE POWER

3,321,755

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

3,321,755

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

1.0%

12

TYPE OF REPORTING PERSON


PN

           

 

 

CUSIP No. 60770K107   13G/A Page 3 of 18 Pages
1

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)

Viking Global Performance LLC

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ☐
(b) ☒

3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

5

SOLE VOTING POWER


0

 

6

SHARED VOTING POWER


2,414,066

7

SOLE DISPOSITIVE POWER


0

8

SHARED DISPOSITIVE POWER

2,414,066

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,414,066

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

0.7%

12

TYPE OF REPORTING PERSON


OO

           

 

 

CUSIP No. 60770K107   13G/A Page 4 of 18 Pages
1

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)

Viking Global Equities II LP

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ☐
(b) ☒

3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware


NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

5

SOLE VOTING POWER

0

 

6

SHARED VOTING POWER

48,278

 

7

SOLE DISPOSITIVE POWER

0

 

8

SHARED DISPOSITIVE POWER

48,278

 

9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

48,278
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

0.01%
12

TYPE OF REPORTING PERSON*


PN

           

 

 

CUSIP No. 60770K107   13G/A Page 5 of 18 Pages
1

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)

Viking Global Equities Master Ltd.

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ☐
(b) ☒

3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION

Cayman Islands

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

5

SOLE VOTING POWER


0

 

6

SHARED VOTING POWER


2,365,788

7

SOLE DISPOSITIVE POWER


0

8

SHARED DISPOSITIVE POWER

2,365,788

 

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,365,788

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

0.7%

12

TYPE OF REPORTING PERSON


CO

           

 

 

CUSIP No. 60770K107   13G/A Page 6 of 18 Pages
1

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)

Viking Long Fund GP LLC

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ☐
(b) ☒

3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

5

SOLE VOTING POWER


0

 

6

SHARED VOTING POWER


907,689

7

SOLE DISPOSITIVE POWER


0

8

SHARED DISPOSITIVE POWER

 

907,689

 

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

907,689

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

0.3%

12

TYPE OF REPORTING PERSON


OO

           

 

 

CUSIP No. 60770K107   13G/A Page 7 of 18 Pages
1

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)

Viking Long Fund Master Ltd.

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ☐
(b) ☒

3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION

Cayman Islands



NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

5

SOLE VOTING POWER

0

 

6

SHARED VOTING POWER

907,689

 

7

SOLE DISPOSITIVE POWER

0

 

8

SHARED DISPOSITIVE POWER

907,689

 

9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

907,689
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

0.3%
12

TYPE OF REPORTING PERSON*


CO

           

 

 

CUSIP No. 60770K107   13G/A Page 8 of 18 Pages
1

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)

O. Andreas Halvorsen

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ☐
(b) ☒

3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION

Norway



NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

5

SOLE VOTING POWER

0

 

6

SHARED VOTING POWER

3,321,755

 

7

SOLE DISPOSITIVE POWER

0

 

8

SHARED DISPOSITIVE POWER

3,321,755

 

9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

3,321,755
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

1.0%
12

TYPE OF REPORTING PERSON*


IN

           

 

CUSIP No. 60770K107   13G/A Page 9 of 18 Pages
1

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)

David C. Ott

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ☐
(b) ☒

3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION

United States


NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

5

SOLE VOTING POWER

0

 

6

SHARED VOTING POWER

3,321,755

 

7

SOLE DISPOSITIVE POWER

0

 

8

SHARED DISPOSITIVE POWER

3,321,755

 

9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

3,321,755
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

1.0%
12

TYPE OF REPORTING PERSON*


IN

           

 

CUSIP No. 60770K107   13G/A Page 10 of 18 Pages
1

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)

Rose S. Shabet

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ☐
(b) ☒

3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION

United States


NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

5

SOLE VOTING POWER

0

 

6

SHARED VOTING POWER

3,321,755

 

7

SOLE DISPOSITIVE POWER

0

 

8

SHARED DISPOSITIVE POWER

3,321,755

 

9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

3,321,755
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

1.0%
12

TYPE OF REPORTING PERSON*


IN

           

 

 

 

Item 1(a).Name of Issuer:

 

Moderna, Inc.

 

Item 1(b).Address of Issuer’s Principal Executive Offices:

 

200 Technology Square 

Cambridge, MA 02139

 

Item 2(a).Name of Person Filing:

 

Viking Global Investors LP (“VGI”), 

Viking Global Performance LLC (“VGP”), 

Viking Global Equities II LP (“VGEII”), 

Viking Global Equities Master Ltd. (“VGEM”), 

Viking Long Fund GP LLC (“VLFGP”), 

Viking Long Fund Master Ltd. (“VLFM”), 

O. Andreas Halvorsen, David C. Ott and Rose S. Shabet (collectively, the “Reporting Persons”)

 

Items 2(b).Address of Principal Business Office or, if none, Residence:

 

The business address of each of the Reporting Persons is: 55 Railroad Avenue, Greenwich, Connecticut 06830.

 

Items 2(c).Citizenship:

 

VGI and VGEII are Delaware limited partnerships; VGP and VLFGP are Delaware limited liability companies; VGEM and VLFM are Cayman Islands exempted companies; O. Andreas Halvorsen is a citizen of Norway; and David C. Ott and Rose S. Shabet are citizens of the United States.

 

Item 2(d).Titles of Classes of Securities:

 

Common stock, par value $0.0001 per share (“Common Stock”)

 

Item 2(e).CUSIP NUMBER: 60770K107

 

Page 11 of 18 Pages

 

Item 3.If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or  (c), Check Whether the Person Filing is a:

 

(a)☐ Broker or dealer registered under Section 15 of the Exchange Act

 

(b)☐ Bank as defined in Section 3(a)(6) of the Exchange Act

 

(c)☐ Insurance company as defined in Section 3(a)(19) of the Exchange Act

 

(d)☐ Investment company registered under Section 8 of the Investment Company Act of 1940

 

(e)☐ Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940: see Rule 13d-1(b)(1)(ii)(E)

 

(f)☐ Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Rule 13d-1(b)(1)(ii)(F)

 

(g)☐ Parent holding company, in accordance with Rule 13d-1(b)(1)(ii)(G).

 

(h)☐ Savings Association as defined in Section 3(b) of the Federal Deposit Insurance Act.

 

(i)☐ Church Plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940.

 

(j)☐ Non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution:

 

(k)☐ Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K).

 

Item 4.Ownership

 

A. VGI

 

(a)Amount beneficially owned: 3,321,755

 

(b)Percent of Class: 1.0%

 

(c)Number of shares as to which such person has:

 

(i)Sole power to vote or to direct the vote: 0

(ii)Shared power to vote or to direct the vote: 3,321,755

(iii)Sole power to dispose or to direct the disposition of: 0

(iv)Shared power to dispose or to direct the disposition of: 3,321,755

 

Page 12 of 18 Pages

 

 

VGI provides managerial services to VGEII, VGEM and VLFM. VGI has the authority to dispose of and vote the shares of Common Stock directly owned by VGEII, VGEM and VLFM. VGI does not directly own any shares of Common Stock.

 

Based on Rule 13d-3 of the Securities Exchange Act of 1934, as amended (the “Act”), VGI may be deemed to beneficially own the shares of Common Stock directly held by VGEII, VGEM and VLFM.

 

VGI beneficially owns 3,321,755 shares of Common Stock consisting of (i) 48,278 shares of Common Stock directly and beneficially owned by VGEII, (ii) 2,365,788 shares of Common Stock directly and beneficially owned by VGEM and (iii) 907,689 shares of Common Stock directly and beneficially owned by VLFM.

 

B. VGP

 

(a)Amount beneficially owned: 2,414,066

 

(b)Percent of Class: 0.7%

 

(c)Number of shares as to which such person has:

 

(i)Sole power to vote or to direct the vote: 0

(ii)Shared power to vote or to direct the vote: 2,414,066

(iii)Sole power to dispose or to direct the disposition of: 0

(iv)Shared power to dispose or to direct the disposition of: 2,414,066

 

VGP, as the general partner of VGEII, has the authority to dispose of and vote the shares of Common Stock directly owned by VGEII. VGP serves as investment manager to VGEM and has the authority to dispose of and vote the shares of Common Stock directly owned by VGEM. VGP does not directly own any shares of Common Stock.

 

Based on Rule 13d-3 of the Act, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGEII and VGEM.

 

VGP beneficially owns 2,414,066 shares of Common Stock consisting of (i) 48,278 shares of Common Stock directly and beneficially owned by VGEII and (ii) 2,365,788 shares of Common Stock directly and beneficially owned by VGEM.

 

C. VGEII

 

(a)Amount beneficially owned: 48,278

 

(b)Percent of Class: 0.01%

 

Page 13 of 18 Pages

 

 

(c)Number of shares as to which such person has:

 

(i)Sole power to vote or to direct the vote: 0

(ii)Shared power to vote or to direct the vote: 48,278

(iii)Sole power to dispose or to direct the disposition of: 0

(iv)Shared power to dispose or to direct the disposition of: 48,278

 

VGEII has the authority to dispose of and vote the shares of Common Stock directly owned by it, which power may be exercised by its general partner, VGP, and by VGI, an affiliate of VGP, which provides managerial services to VGEII.

 

D. VGEM

 

(a)Amount beneficially owned: 2,365,788

 

(b)Percent of Class: 0.7%

 

(c)Number of shares as to which such person has:

 

(i)Sole power to vote or to direct the vote: 0

(ii)Shared power to vote or to direct the vote: 2,365,788

(iii)Sole power to dispose or to direct the disposition of: 0

(iv)Shared power to dispose or to direct the disposition of: 2,365,788

 

VGEM has the authority to dispose of and vote the shares of Common Stock directly owned by it, which power may be exercised by its investment manager, VGP, and by VGI, an affiliate of VGP, which provides managerial services to VGEM.

 

E. VLFGP

 

(a)Amount 0.3%

 

(c)Number of shares as to which such person has:

 

(i)Sole power to vote or to direct the vote: 0

(ii)Shared power to vote or to direct the vote: 907,689

(iii)Sole power to dispose or to direct the disposition of: 0

(iv)Shared power to dispose or to direct the disposition of: 907,689

 

VLFGP serves as the investment manager of VLFM and has the authority to dispose of and vote the shares of Common Stock directly owned by VLFM. VLFGP does not directly own any shares of Common Stock.

 

Based on Rule 13d-3 of the Act, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM.

 

Page 14 of 18 Pages

 

 

F. VLFM

 

(a)Amount beneficially owned: 907,689

 

(b)Percent of Class: 0.3%

 

(c)Number of shares as to which such person has:

 

(i)Sole power to vote or to direct the vote: 0

(ii)Shared power to vote or to direct the vote: 907,689

(iii)Sole power to dispose or to direct the disposition of: 0

(iv)Shared power to dispose or to direct the disposition of: 907,689

 

VLFM has the authority to dispose of and vote the shares of Common Stock directly owned by it, which power may be exercised by its investment manager, VLFGP, and by VGI, an affiliate of VLFGP, which provides managerial services to VLFM. Viking Long Fund LP (a Delaware limited partnership) and Viking Long Fund III Ltd. (a Cayman Islands exempted company), through its investment in Viking Long Fund Intermediate L.P. (a Cayman Islands limited partnership), invest substantially all of their assets through VLFM.

 

G. O. Andreas Halvorsen, David C. Ott and Rose S. Shabet

 

(a)Amount beneficially owned: 3,321,755

 

(b)Percent of Class: 1.0%

 

(c)Number of shares as to which such person has:

 

(i)Sole power to vote or to direct the vote: 0

(ii)Shared power to vote or to direct the vote: 3,321,755

(iii)Sole power to dispose or to direct the disposition of: 0

(iv)Shared power to dispose or to direct the disposition of: 3,321,755

 

Mr. Halvorsen, Mr. Ott and Ms. Shabet, as Executive Committee Members of Viking Global Partners LLC, general partner of VGI, VGP and VLFGP, have shared authority to dispose of and vote the shares of Common Stock beneficially owned by VGI, VGP and VLFGP.

 

None of Mr. Halvorsen, Mr. Ott and Ms. Shabet directly owns any shares of Common Stock. Based on Rule 13d-3 of the Act, each may be deemed to beneficially own the shares of Common Stock directly held by VGEII, VGEM and VLFM.Mr. Halvorsen, Mr. Ott and Ms. Shabet each beneficially own owns 3,321,755 shares of Common Stock consisting of (i) 48,278 shares of Common Stock directly and beneficially owned by VGEII, (ii) 2,365,788 shares of Common Stock directly and beneficially owned by VGEM and (iii) 907,689 shares of Common Stock directly and beneficially owned by VLFM.

 

Page 15 of 18 Pages

 

 

Item 5.Ownership of Five Percent or Less of a Class.

 

If this statement is being filed to report the fact that as of the date hereof the Reporting Persons have ceased to be the beneficial owner of more than five percent of the class of securities, check the following ☒.

 

Item 6.Ownership of More than Five Percent on Behalf of Another Person.

 

Yes, see Item 4.

 

Item 7.Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.

 

Not applicable.

 

Item 8.Identification and Classification of Members of the Group.

 

Not applicable.

 

Item 9.Notice of Dissolution of Group.

 

Not applicable

 

Item 10.Certification. (if filing pursuant to Rule 13d-1(c))

 

By signing below each Reporting Person certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and not held in connection with or as a participant in any transaction having that purpose or effect.

 

Page 16 of 18 Pages

 

 

SIGNATURES

 

After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.

 

Dated: February 11, 2020

 

/s/ O. ANDREAS HALVORSEN 

By: O. Andreas Halvorsen - individually and as an Executive Committee Member of VIKING GLOBAL PARTNERS LLC, on behalf of VIKING GLOBAL INVESTORS LP, and as an Executive Committee Member of VIKING GLOBAL PERFORMANCE LLC, on behalf of itself and VIKING GLOBAL EQUITIES II LP, and VIKING GLOBAL EQUITIES MASTER LTD., and as an Executive Committee Member of VIKING LONG FUND GP LLC, on behalf of itself and VIKING LONG FUND MASTER LTD.

 

/s/ DAVID C. OTT 

By: David C. Ott - individually and as an Executive Committee Member of VIKING GLOBAL PARTNERS LLC, on behalf of VIKING GLOBAL INVESTORS LP, and as an Executive Committee Member of VIKING GLOBAL PERFORMANCE LLC, on behalf of itself and VIKING GLOBAL EQUITIES II LP and VIKING GLOBAL EQUITIES MASTER LTD.

 

/s/ ROSE S. SHABET 

By: Rose S. Shabet - individually and as an Executive Committee Member of VIKING GLOBAL PARTNERS LLC, on behalf of VIKING GLOBAL INVESTORS LP, and as an Executive Committee Member of VIKING GLOBAL PERFORMANCE LLC, on behalf of itself and VIKING GLOBAL EQUITIES II LP and VIKING GLOBAL EQUITIES MASTER LTD.

 

Page 17 of 18 Pages

 

  

EXHIBIT A - JOINT FILING AGREEMENT

 

This joint filing agreement is made and entered into as of this 11th day of February, 2020, by and among Viking Global Investors LP, Viking Global Performance LLC, Viking Global Equities II LP, Viking Global Equities Master Ltd., Viking Long Fund GP LLC, Viking Long Fund Master Ltd., O. Andreas Halvorsen, David C. Ott and Rose S. Shabet.

 

The parties hereby agree to jointly prepare and file a Schedule 13G with respect to Moderna, Inc., as well as any amendments thereto, pursuant to the Securities Exchange Act of 1934, as amended.

 

IN WITNESS WHEREOF, the parties hereto have executed this agreement as of the date first set forth above.

 

Dated: February 11, 2020

 

/s/ O. ANDREAS HALVORSEN 

By: O. Andreas Halvorsen - individually and as an Executive Committee Member of VIKING GLOBAL PARTNERS LLC, on behalf of VIKING GLOBAL INVESTORS LP, and as an Executive Committee Member of VIKING GLOBAL PERFORMANCE LLC, on behalf of itself and VIKING GLOBAL EQUITIES II LP and VIKING GLOBAL EQUITIES MASTER LTD., and as an Executive Committee Member of VIKING LONG FUND GP LLC, on behalf of itself and VIKING LONG FUND MASTER LTD.

 

/s/ DAVID C. OTT 

By: David C. Ott - individually and as an Executive Committee Member of VIKING GLOBAL PARTNERS LLC, on behalf of VIKING GLOBAL INVESTORS LP, and as an Executive Committee Member of VIKING GLOBAL PERFORMANCE LLC, on behalf of itself and VIKING GLOBAL EQUITIES II LP and VIKING GLOBAL EQUITIES MASTER LTD., and as an Executive Committee Member of VIKING LONG FUND GP LLC, on behalf of itself and VIKING LONG FUND MASTER LTD.

 

/s/ ROSE S. SHABET 

By: Rose S. Shabet - individually and as an Executive Committee Member of VIKING GLOBAL PARTNERS LLC, on behalf of VIKING GLOBAL INVESTORS LP, and as an Executive Committee Member of VIKING GLOBAL PERFORMANCE LLC, on behalf of itself and VIKING GLOBAL EQUITIES II LP and VIKING GLOBAL EQUITIES MASTER LTD., and as an Executive Committee Member of VIKING LONG FUND GP LLC, on behalf of itself and VIKING LONG FUND MASTER LTD.

 

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