Filing Details

Accession Number:
0001127602-23-017584
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-06-02 16:46:11
Reporting Period:
2023-05-31
Accepted Time:
2023-06-02 16:46:11
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1682852 Moderna Inc. MRNA () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1443340 Stephane Bancel C/O Moderna, Inc.
200 Technology Square
Cambridge MA 02139
Chief Executive Officer Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2023-05-31 40,000 $0.99 5,451,946 No 4 M Direct
Common Stock Disposition 2023-05-31 9,478 $125.38 5,442,468 No 4 S Direct
Common Stock Disposition 2023-05-31 14,636 $126.71 5,427,832 No 4 S Direct
Common Stock Disposition 2023-05-31 11,036 $127.84 5,416,796 No 4 S Direct
Common Stock Disposition 2023-05-31 4,850 $128.42 5,411,946 No 4 S Direct
Common Stock Acquisiton 2023-06-01 40,000 $0.99 5,451,946 No 4 M Direct
Common Stock Disposition 2023-06-01 1,410 $125.96 5,450,536 No 4 S Direct
Common Stock Disposition 2023-06-01 8,611 $127.53 5,441,925 No 4 S Direct
Common Stock Disposition 2023-06-01 29,979 $128.18 5,411,946 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (Right to Buy) Disposition 2023-05-31 40,000 $0.00 40,000 $0.99
Common Stock Stock Option (Right to Buy) Disposition 2023-06-01 40,000 $0.00 40,000 $0.99
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
307,155 2023-08-19 No 4 M Direct
267,155 2023-08-19 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 9,050,372 Indirect See Footnote
Common Stock 6,564,880 Indirect See Footnote
Footnotes
  1. 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.
  2. 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.
  3. 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.
  4. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $125.20 to $126.19. 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.
  5. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $126.24 to $127.21. 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.
  6. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $127.25 to $128.25. 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.
  7. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $128.26 to $128.61. 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.
  8. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $125.65 to $126.65. 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.
  9. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $126.88 to $127.88. 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.
  10. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $127.89 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.
  11. This option is fully vested and exercisable.