Stephane Bancel - Jan 4, 2023 Form 4 Insider Report for Moderna, Inc. (MRNA)

Signature
/s/ Brian Sandstrom, as Attorney-in-Fact
Stock symbol
MRNA
Transactions as of
Jan 4, 2023
Transactions value $
-$13,988,334
Form type
4
Date filed
1/6/2023, 03:04 PM
Previous filing
Dec 30, 2022
Next filing
Jan 13, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction MRNA Common Stock Options Exercise $39.6K +40K +0.74% $0.99* 5.45M Jan 4, 2023 Direct F1
transaction MRNA Common Stock Sale -$520K -2.95K -0.05% $176.20 5.45M Jan 4, 2023 Direct F1, F2
transaction MRNA Common Stock Sale -$2.03M -11.5K -0.21% $177.38 5.44M Jan 4, 2023 Direct F1, F3
transaction MRNA Common Stock Sale -$2.87M -16.1K -0.3% $178.25 5.42M Jan 4, 2023 Direct F1, F4
transaction MRNA Common Stock Sale -$1.31M -7.29K -0.13% $179.12 5.41M Jan 4, 2023 Direct F1, F5
transaction MRNA Common Stock Sale -$399K -2.21K -0.04% $180.16 5.41M Jan 4, 2023 Direct F1, F6
transaction MRNA Common Stock Options Exercise $39.6K +40K +0.74% $0.99* 5.45M Jan 5, 2023 Direct F1
transaction MRNA Common Stock Sale -$1.86M -10.7K -0.2% $172.64 5.44M Jan 5, 2023 Direct F1, F7
transaction MRNA Common Stock Sale -$2.57M -14.8K -0.27% $173.42 5.43M Jan 5, 2023 Direct F1, F8
transaction MRNA Common Stock Sale -$2.35M -13.5K -0.25% $174.38 5.41M Jan 5, 2023 Direct F1, F9
transaction MRNA Common Stock Sale -$171K -975 -0.02% $175.10 5.41M Jan 5, 2023 Direct F1, F10
holding MRNA Common Stock 9.05M Jan 4, 2023 See Footnote F11
holding MRNA Common Stock 6.56M Jan 4, 2023 See Footnote F12

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 -40K -1.97% $0.00 1.99M Jan 4, 2023 Common Stock 40K $0.99 Direct F1, F13
transaction MRNA Stock Option (Right to Buy) Options Exercise $0 -40K -2.01% $0.00 1.95M Jan 5, 2023 Common Stock 40K $0.99 Direct F1, F13
* 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 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.
F2 The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $175.75 to $176.68. Full information regarding the number of shares sold at each separate price can be furnished 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 $176.76 to $177.75. Full information regarding the number of shares sold at each separate price can be furnished 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 $177.77 to $178.76. Full information regarding the number of shares sold at each separate price can be furnished 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 $178.78 to $179.76. Full information regarding the number of shares sold at each separate price can be furnished 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 $179.79 to $180.67. Full information regarding the number of shares sold at each separate price can be furnished 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 $171.91 to $172.90. Full information regarding the number of shares sold at each separate price can be furnished 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 $172.92 to $173.90. Full information regarding the number of shares sold at each separate price can be furnished 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 $173.94 to $174.93. Full information regarding the number of shares sold at each separate price can be furnished 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 $174.95 to $175.20. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
F11 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.
F12 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.
F13 This option is fully vested and exercisable.