Stephane Bancel - 01 Mar 2023 Form 4 Insider Report for Moderna, Inc. (MRNA)

Signature
/s/ Brian Sandstrom, as Attorney-in-Fact
Issuer symbol
MRNA
Transactions as of
01 Mar 2023
Net transactions value
-$10,827,957
Form type
4
Filing time
03 Mar 2023, 15:14:50 UTC
Previous filing
02 Mar 2023
Next filing
10 Mar 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction MRNA Common Stock Options Exercise $39,600 +40,000 +0.74% $0.9900* 5,451,946 01 Mar 2023 Direct F3
transaction MRNA Common Stock Sale $1,520,594 -11,319 -0.21% $134.34 5,440,627 01 Mar 2023 Direct F3, F4
transaction MRNA Common Stock Sale $2,967,334 -21,938 -0.4% $135.26 5,418,689 01 Mar 2023 Direct F3, F5
transaction MRNA Common Stock Sale $761,599 -5,593 -0.1% $136.17 5,413,096 01 Mar 2023 Direct F3, F6
transaction MRNA Common Stock Sale $157,584 -1,150 -0.02% $137.03 5,411,946 01 Mar 2023 Direct F3, F7
transaction MRNA Common Stock Options Exercise $39,600 +40,000 +0.74% $0.9900* 5,451,946 02 Mar 2023 Direct F3
transaction MRNA Common Stock Sale $1,187,028 -8,700 -0.16% $136.44 5,443,246 02 Mar 2023 Direct F3, F8
transaction MRNA Common Stock Sale $2,410,484 -17,541 -0.32% $137.42 5,425,705 02 Mar 2023 Direct F3, F9
transaction MRNA Common Stock Sale $1,888,630 -13,659 -0.25% $138.27 5,412,046 02 Mar 2023 Direct F3, F10
transaction MRNA Common Stock Sale $13,903 -100 -0% $139.03 5,411,946 02 Mar 2023 Direct F3
holding MRNA Common Stock 9,050,372 01 Mar 2023 See Footnote F1
holding MRNA Common Stock 6,564,880 01 Mar 2023 See Footnote 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 -40,000 -2.9% $0.000000 1,347,155 01 Mar 2023 Common Stock 40,000 $0.9900 Direct F3, F11
transaction MRNA Stock Option (Right to Buy) Options Exercise $0 -40,000 -3% $0.000000 1,307,155 02 Mar 2023 Common Stock 40,000 $0.9900 Direct F3, F11
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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.
F3 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.
F4 The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $133.79 to $134.79. 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 $134.80 to $135.79. 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 $135.81 to $136.80. 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 $136.82 to $137.58. 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 $135.88 to $136.88. 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 $136.89 to $137.89. 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 $137.90 to $138.90. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
F11 This option is fully vested and exercisable.