0001127602-20-028616.txt : 20201110
0001127602-20-028616.hdr.sgml : 20201110
20201110161504
ACCESSION NUMBER: 0001127602-20-028616
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201106
FILED AS OF DATE: 20201110
DATE AS OF CHANGE: 20201110
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: 201301286
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
2020-11-06
0001682852
Moderna, Inc.
MRNA
0001443340
Bancel Stephane
C/O MODERNA, INC.
200 TECHNOLOGY SQUARE
CAMBRIDGE
MA
02139
1
1
Chief Executive Officer
Common Stock
2020-11-06
4
S
0
11046
71.50
D
320350
I
See Footnote
Common Stock
6593868
D
Common Stock
7684880
I
See Footnote
Common Stock
9077048
I
See Footnote
This sale was effected pursuant to a Rule 10b5-1 trading plan adopted on December 28, 2018.
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/ Lori Henderson, as Attorney-in-Fact
2020-11-10