Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-21-027824
Date:2021-10-27
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 2021-10-27 S 9,000 d $344.25 6,022,868 direct
COMMON STOCK 2021-10-27 G 4,000 d $0.00 6,018,868 direct
COMMON STOCK 2021-10-28 S 10,000 d $343.74 7,174,880 indirect f5
COMMON STOCK 2021-10-27 0 $0.00 9,050,372 indirect f6
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 reported disposition was effected pursuant to a rule 10b5-1 trading plan adopted on may 21, 2020, as amended may 13, 2021.
f3 the reported disposition represents a bona fide charitable gift made by the reporting person.
f4 this sale was effected pursuant to a rule 10b5-1 trading plan adopted on december 18, 2018, as amended on september 16, 2019.
f5 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.
f6 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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