Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-21-027658
Date:2021-10-25
Issuer: MODERNA, INC. (MRNA)
Original Submission Date:

Reporting Person:

HOGE STEPHEN
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 2021-10-25 M 5,000 a $10.90 1,614,597 direct
COMMON STOCK 2021-10-25 M 5,000 a $10.90 1,619,597 direct
COMMON STOCK 2021-10-25 M 10,000 a $0.99 1,629,597 direct
COMMON STOCK 2021-10-25 S 100 d $324.22 1,629,497 direct
COMMON STOCK 2021-10-25 S 500 d $325.68 1,628,997 direct
COMMON STOCK 2021-10-25 S 10,800 d $327.34 1,618,197 direct
COMMON STOCK 2021-10-25 S 500 d $328.30 1,617,697 direct
COMMON STOCK 2021-10-25 S 600 d $330.28 1,617,097 direct
COMMON STOCK 2021-10-25 S 500 d $331.51 1,616,597 direct
COMMON STOCK 2021-10-25 S 800 d $332.69 1,615,797 direct
COMMON STOCK 2021-10-25 S 627 d $333.70 1,615,170 direct
COMMON STOCK 2021-10-25 S 700 d $334.89 1,614,470 direct
COMMON STOCK 2021-10-25 S 739 d $336.12 1,613,731 direct
COMMON STOCK 2021-10-25 S 600 d $337.27 1,613,131 direct
COMMON STOCK 2021-10-25 S 300 d $338.10 1,612,831 direct
COMMON STOCK 2021-10-25 S 200 d $339.70 1,612,631 direct
COMMON STOCK 2021-10-25 S 300 d $342.13 1,612,331 direct
COMMON STOCK 2021-10-25 S 845 d $343.39 1,611,486 direct
COMMON STOCK 2021-10-25 S 500 d $344.80 1,610,986 direct
COMMON STOCK 2021-10-25 S 600 d $345.82 1,610,386 direct
COMMON STOCK 2021-10-25 S 300 d $347.07 1,610,086 direct
COMMON STOCK 2021-10-25 S 302 d $348.94 1,609,784 direct
COMMON STOCK 2021-10-25 S 187 d $349.54 1,609,597 direct
COMMON STOCK 2021-10-25 0 $0.00 4,116 indirect
COMMON STOCK 2021-10-25 0 $0.00 151,933 f21 indirect
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
STOCK OPTION (RIGHT TO BUY) 10.9 2021-10-25 deemed execution date M 5,000 (d) 2026-02-23 common stock 5,000 $10.90 211,972 direct
STOCK OPTION (RIGHT TO BUY) 10.9 2021-10-25 deemed execution date M 5,000 (d) 2026-02-23 common stock 5,000 $10.90 206,972 direct
STOCK OPTION (RIGHT TO BUY) 0.99 2021-10-25 deemed execution date M 10,000 (d) 2023-08-19 common stock 10,000 $0.99 277,431 direct
Footnotes
IDfootnote
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 the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $325.42 to $326.01. 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 $326.49 to $327.45. 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 $327.67 to $328.60. 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 $329.77 to $330.75. 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 $331.28 to $332.15. 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 $332.30 to $333.14. 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 $333.39 to $334.26. 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 $334.42 to $335.36. 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 $335.67 to $336.66. full information regarding the number of shares sold at each separate price can be furnished 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 $336.78 to $337.59. full information regarding the number of shares sold at each separate price can be furnished 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 $337.89 to $338.27. full information regarding the number of shares sold at each separate price can be furnished to the sec staff upon request.
f13 the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $339.53 to $339.87. full information regarding the number of shares sold at each separate price can be furnished to the sec staff upon request.
f14 the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $341.90 to $342.48. full information regarding the number of shares sold at each separate price can be furnished to the sec staff upon request.
f15 the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $342.91 to $343.90. full information regarding the number of shares sold at each separate price can be furnished to the sec staff upon request.
f16 the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $344.40 to $345.32. full information regarding the number of shares sold at each separate price can be furnished to the sec staff upon request.
f17 the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $345.47 to $346.19. full information regarding the number of shares sold at each separate price can be furnished to the sec staff upon request.
f18 the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $346.79 to $347.37. full information regarding the number of shares sold at each separate price can be furnished to the sec staff upon request.
f19 the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $348.37 to $349.30. full information regarding the number of shares sold at each separate price can be furnished to the sec staff upon request.
f20 the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $349.49 to $349.59. full information regarding the number of shares sold at each separate price can be furnished to the sec staff upon request.
f21 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.
f22 25% of this option vested and became exercisable on february 23, 2017, with the remainder vesting in 12 equal quarterly installments thereafter.
f23 this option is fully vested and exercisable.

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