Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-22-014446
Date:2022-05-11
Issuer: MODERNA, INC. (MRNA)
Original Submission Date:

Reporting Person:

BANCEL STEPHANE
C/O MODERNA, INC.
200 TECHNOLOGY SQUARE CAMBRIDGE, MA 02139

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2022-05-11 S 1,473 d $123.43 5,403,062 direct
COMMON STOCK 2022-05-11 S 1,239 d $124.32 5,401,823 direct
COMMON STOCK 2022-05-11 S 1,688 d $125.47 5,400,135 direct
COMMON STOCK 2022-05-11 S 496 d $126.35 5,399,639 direct
COMMON STOCK 2022-05-11 S 421 d $127.30 5,399,218 direct
COMMON STOCK 2022-05-11 S 865 d $128.64 5,398,353 direct
COMMON STOCK 2022-05-11 S 1,186 d $129.60 5,397,167 direct
COMMON STOCK 2022-05-11 S 806 d $130.89 5,396,361 direct
COMMON STOCK 2022-05-11 S 485 d $132.23 5,395,876 direct
COMMON STOCK 2022-05-11 S 169 d $133.24 5,395,707 direct
COMMON STOCK 2022-05-11 S 172 d $134.52 5,395,535 direct
COMMON STOCK 2022-05-11 G 4,000 d $0.00 5,391,535 direct
COMMON STOCK 2022-05-12 S 10,000 d $121.10 6,894,880 indirect f16
COMMON STOCK 2022-05-11 0 $0.00 9,050,372 indirect f17
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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
Footnotes
IDfootnote
f1 this sale was effected pursuant to a rule 10b5-1 trading plan adopted on december 28, 2018, as amended on may 21, 2020.
f2 the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $122.90 to $123.88. full information regarding the number of shares sold at each separate price can befurnished to the sec staff upon request.
f3 the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $123.92 to $124.83. full information regarding the number of shares sold at each separate price can befurnished to the sec staff upon request.
f4 the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $124.98 to $125.98. full information regarding the number of shares sold at each separate price can befurnished to the sec staff upon request.
f5 the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $126.00 to $126.65. full information regarding the number of shares sold at each separate price can befurnished to the sec staff upon request.
f6 the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $127.03 to $127.60. full information regarding the number of shares sold at each separate price can befurnished to the sec staff upon request.
f7 the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $128.11 to $129.09. full information regarding the number of shares sold at each separate price can befurnished to the sec staff upon request.
f8 the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $129.26 to $130.18. full information regarding the number of shares sold at each separate price can befurnished to the sec staff upon request.
f9 the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $130.32 to $131.25. full information regarding the number of shares sold at each separate price can befurnished to the sec staff upon request.
f10 the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $131.76 to $132.71. full information regarding the number of shares sold at each separate price can befurnished to the sec staff upon request.
f11 the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $132.91 to $133.53. full information regarding the number of shares sold at each separate price can befurnished to the sec staff upon request.
f12 the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $134.30 to $134.72. full information regarding the number of shares sold at each separate price can befurnished to the sec staff upon request.
f13 the reported disposition was effected pursuant to a rule 10b5-1 trading plan adopted on may 21, 2020, as amended may 13, 2021.
f14 the reported disposition represents a bona fide charitable gift made by the reporting person.
f15 this sale was effected pursuant to a rule 10b5-1 trading plan adopted on december 18, 2018, as amended on september 16, 2019.
f16 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 thesesecurities, 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.
f17 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.

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