| Accession Number: | 0001127602-22-012858 |
| Date: | 2022-04-28 |
| Issuer: | MODERNA, INC. (MRNA) |
| Original Submission Date: |
SAGAN PAUL
C/O MODERNA, INC.
200 TECHNOLOGY SQUARE
CAMBRIDGE, MA 02139
| Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
|---|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | 2022-04-28 | M | 703 | a | $0.00 | 703 | direct | ||
| COMMON STOCK | 2022-04-28 | 0 | $0.00 | 14,951 f2 | indirect | ||||
| COMMON STOCK | 2022-04-28 | 0 | $0.00 | 76,452 f2 | indirect | ||||
| COMMON STOCK | 2022-04-28 | 0 | $0.00 | 370,407 f2 | indirect |
| Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| RESTRICTED STOCK UNITS | 0.0 | 2022-04-28 | deemed execution date | M | 703 (d) | common stock 703 | $0.00 | 0 | direct | |||
| STOCK OPTION (RIGHT TO BUY) | 142.52 | 2022-04-28 | deemed execution date | A | 5,415 (a) | common stock 5,415 | $142.52 | 5,415 | direct |
| ID | footnote |
|---|---|
| f1 | restricted stock units convert into common stock on a one-for-one basis. |
| f2 | erwin park llc is an investment vehicle owned by the reporting person's children. the chatham trust is an irrevocable family trust for which the reporting person serves as a trustee. the paul sagan revocable trust is a revocable trust for which the reporting person serves as a trustee. the reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of section 16 or for any other purpose. |
| f3 | the shares subject to this restricted stock unit award vested in full on april 28, 2022. |
| f4 | this option will become fully vested and exercisable on the earlier of april 28, 2023, or moderna's next annual meeting of stockholders, subject to the recipient's continued service. |
