0001127602-23-025714.txt : 20231010 0001127602-23-025714.hdr.sgml : 20231010 20231010165141 ACCESSION NUMBER: 0001127602-23-025714 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231005 FILED AS OF DATE: 20231010 DATE AS OF CHANGE: 20231010 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mock James M CENTRAL INDEX KEY: 0001736359 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38753 FILM NUMBER: 231318505 MAIL ADDRESS: STREET 1: 940 WINTER STREET STREET 2: PERKINELMER CITY: WALTHAM STATE: MA ZIP: 02451 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 X0508 4 2023-10-05 0001682852 Moderna, Inc. MRNA 0001736359 Mock James M 200 TECHNOLOGY SQUARE SUITE 300 CAMBRIDGE MA 02139 1 Chief Financial Officer 1 Common Stock 2023-10-05 4 M 0 5810 A 5810 D Common Stock 2023-10-06 4 S 0 2858 102.5027 D 2952 D Restricted Stock Units 2023-10-05 4 M 0 5810 0 D Common Stock 5810 17432 D Restricted stock units convert into common stock on a one-for-one basis. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of a tax withholding obligation to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person. 25% of the shares subject to this restricted stock unit award vested on October 5, 2023 with the remainder vesting in twelve (12) equal quarterly installments thereafter. /s/ James Dillon, As Attorney-in-Fact 2023-10-10