0001127602-23-018865.txt : 20230616
0001127602-23-018865.hdr.sgml : 20230616
20230616161534
ACCESSION NUMBER: 0001127602-23-018865
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230614
FILED AS OF DATE: 20230616
DATE AS OF CHANGE: 20230616
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: 231021305
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
X0407
4
2023-06-14
0001682852
Moderna, Inc.
MRNA
0001443340
Bancel Stephane
C/O MODERNA, INC.
200 TECHNOLOGY SQUARE
CAMBRIDGE
MA
02139
1
1
Chief Executive Officer
1
Common Stock
9050372
I
See Footnote
Common Stock
6564880
I
See Footnote
Common Stock
2023-06-14
4
M
0
40000
.99
A
5451946
D
Common Stock
2023-06-14
4
S
0
10642
125.32
D
5441304
D
Common Stock
2023-06-14
4
S
0
20848
126.10
D
5420456
D
Common Stock
2023-06-14
4
S
0
8510
127.25
D
5411946
D
Common Stock
2023-06-15
4
M
0
40000
.99
A
5451946
D
Common Stock
2023-06-15
4
S
0
4788
125.61
D
5447158
D
Common Stock
2023-06-15
4
S
0
5377
127.01
D
5441781
D
Common Stock
2023-06-15
4
S
0
8443
127.99
D
5433338
D
Common Stock
2023-06-15
4
S
0
7115
129.12
D
5426223
D
Common Stock
2023-06-15
4
S
0
14277
129.77
D
5411946
D
Stock Option (Right to Buy)
.99
2023-06-14
4
M
0
40000
0
D
2023-08-19
Common Stock
40000
147155
D
Stock Option (Right to Buy)
.99
2023-06-15
4
M
0
40000
0
D
2023-08-19
Common Stock
40000
107155
D
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.
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.
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 $124.65 to $125.65. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $125.66 to $126.66. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $126.67 to $127.62. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $125.15 to $125.98. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $126.38 to $127.38. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $127.40 to $128.38. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $128.50 to $129.49. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $129.51 to $130.13. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
This option is fully vested and exercisable.
/s/ James Dillon, as Attorney-in-Fact
2023-06-16