0001127602-20-030007.txt : 20201125 0001127602-20-030007.hdr.sgml : 20201125 20201125162112 ACCESSION NUMBER: 0001127602-20-030007 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201123 FILED AS OF DATE: 20201125 DATE AS OF CHANGE: 20201125 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hoge Stephen CENTRAL INDEX KEY: 0001760669 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38753 FILM NUMBER: 201350865 MAIL ADDRESS: STREET 1: C/O MODERNA, INC. STREET 2: 200 TECHNOLOGY SQUARE CITY: CAMBRIDGE STATE: MA ZIP: 02139 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 2020-11-23 0001682852 Moderna, Inc. MRNA 0001760669 Hoge Stephen C/O MODERNA, INC. 200 TECHNOLOGY SQUARE CAMBRIDGE MA 02139 1 President Common Stock 2020-11-23 4 M 0 10000 .99 A 1754597 D Common Stock 2020-11-23 4 S 0 1400 99.34 D 1753197 D Common Stock 2020-11-23 4 S 0 6912 100.12 D 1746285 D Common Stock 2020-11-23 4 S 0 6688 101.22 D 1739597 D Common Stock 2020-11-24 4 S 0 100 94.23 D 1739497 D Common Stock 2020-11-24 4 S 0 500 95.65 D 1738997 D Common Stock 2020-11-24 4 S 0 908 97.27 D 1738089 D Common Stock 2020-11-24 4 S 0 2592 98.35 D 1735497 D Common Stock 2020-11-24 4 S 0 900 99.06 D 1734597 D Common Stock 4116 I By Valhalla, LLC Common Stock 151933 I By Trust Stock Option (Right to Buy) .99 2020-11-23 4 M 0 10000 0 D 2023-08-19 Common Stock 10000 717431 D The reported transaction was effected pursuant to a Rule 10b5-1 trading plan adopted on December 27, 2018, as amended on June 1, 2020. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $98.70 to $99.67. 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 $99.72 to $100.67. 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 $100.82 to $101.49. 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 $95.29 to $95.90. 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 $96.80 to $97.75. 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 $97.81 to $98.76. 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 $98.83 to $99.62. 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 Dr. Hoge's spouse and children, of which his spouse is a trustee. 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/ Lori Henderson, as Attorney-in-Fact 2020-11-25