Stephen Hoge - 13 Sep 2021 Form 4 Insider Report for Moderna, Inc. (MRNA)

Role
President
Signature
/s/ Brian Sandstrom, as Attorney-in-Fact
Issuer symbol
MRNA
Transactions as of
13 Sep 2021
Net transactions value
-$8,829,300
Form type
4
Filing time
14 Sep 2021, 16:15:41 UTC
Previous filing
07 Sep 2021
Next filing
27 Sep 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction MRNA Common Stock Options Exercise $54,500 +5,000 +0.31% $10.90* 1,614,597 13 Sep 2021 Direct F1
transaction MRNA Common Stock Options Exercise $54,500 +5,000 +0.31% $10.90* 1,619,597 13 Sep 2021 Direct F1
transaction MRNA Common Stock Options Exercise $9,900 +10,000 +0.62% $0.9900* 1,629,597 13 Sep 2021 Direct F1
transaction MRNA Common Stock Sale $8,948,200 -20,000 -1.2% $447.41 1,609,597 13 Sep 2021 Direct F1
holding MRNA Common Stock 4,116 13 Sep 2021 By Valhalla, LLC
holding MRNA Common Stock 151,933 13 Sep 2021 By Trust F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction MRNA Stock Option (Right to Buy) Options Exercise $0 -5,000 -2% $0.000000 241,972 13 Sep 2021 Common Stock 5,000 $10.90 Direct F1, F3
transaction MRNA Stock Option (Right to Buy) Options Exercise $0 -5,000 -2.1% $0.000000 236,972 13 Sep 2021 Common Stock 5,000 $10.90 Direct F1, F3
transaction MRNA Stock Option (Right to Buy) Options Exercise $0 -10,000 -3% $0.000000 327,431 13 Sep 2021 Common Stock 10,000 $0.9900 Direct F1, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reported transaction was effected pursuant to a Rule 10b5-1 trading plan adopted on December 27, 2018, as amended on January 7, 2021.
F2 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.
F3 25% of this option vested and became exercisable on February 23, 2017, with the remainder vesting in 12 equal quarterly installments thereafter.
F4 This option is fully vested and exercisable.