Statement of Changes in Beneficial Ownership (4)
July 27 2020 - 7:21PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Hoge Stephen |
2. Issuer Name and Ticker or Trading Symbol
Moderna, Inc.
[
MRNA
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President |
(Last)
(First)
(Middle)
C/O MODERNA, INC., 200 TECHNOLOGY SQUARE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/23/2020 |
(Street)
CAMBRIDGE, MA 02139
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 7/23/2020 | | M(1) | | 10000 | A | $.99 | 1986530 | D | |
Common Stock | 7/23/2020 | | S(1) | | 1043 | D | $75.58 (2) | 1985487 | D | |
Common Stock | 7/23/2020 | | S(1) | | 300 | D | $77.25 (3) | 1985187 | D | |
Common Stock | 7/23/2020 | | S(1) | | 325 | D | $78.52 (4) | 1984862 | D | |
Common Stock | 7/23/2020 | | S(1) | | 969 | D | $79.94 (5) | 1983893 | D | |
Common Stock | 7/23/2020 | | S(1) | | 1363 | D | $80.70 (6) | 1982530 | D | |
Common Stock | 7/23/2020 | | S(1) | | 11000 | D | $82.18 (7) | 1971530 | D | |
Common Stock | 7/24/2020 | | S(1) | | 500 | D | $68.19 (8) | 1971030 | D | |
Common Stock | 7/24/2020 | | S(1) | | 595 | D | $69.33 (9) | 1970435 | D | |
Common Stock | 7/24/2020 | | S(1) | | 1160 | D | $71.35 (10) | 1969275 | D | |
Common Stock | 7/24/2020 | | S(1) | | 1638 | D | $72.56 (11) | 1967637 | D | |
Common Stock | 7/24/2020 | | S(1) | | 1107 | D | $73.33 (12) | 1966530 | D | |
Common Stock | | | | | | | | 4116 | I | By Valhalla, LLC |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $.99 | 7/23/2020 | | M (1) | | | 10000 | (13)(14) | 8/19/2023 | Common Stock | 10000 | $0 | 877431 | D | |
Explanation of Responses: |
(1) | The reported transaction was effected pursuant to a Rule 10b5-1 trading plan adopted on December 27, 2018, as amended on June 1, 2020. |
(2) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $75.20 to $76.19. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. |
(3) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $77.10 to $77.51. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. |
(4) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $78.24 to $78.85. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. |
(5) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $79.25 to $80.18. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. |
(6) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $80.37 to $81.33. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. |
(7) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $81.54 to $82.22. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. |
(8) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $67.84 to $68.71. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. |
(9) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $68.87 to $69.74 Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. |
(10) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $70.74 to $71.72. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. |
(11) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $71.95 to $72.95. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. |
(12) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $73.01 to $73.68. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. |
(13) | This option is fully vested and exercisable. |
(14) | This option is fully vested and exercisable. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Hoge Stephen C/O MODERNA, INC. 200 TECHNOLOGY SQUARE CAMBRIDGE, MA 02139 |
|
| President |
|
Signatures
|
/s/ Lori Henderson, as Attorney-in-Fact | | 7/27/2020 |
**Signature of Reporting Person | Date |
Moderna (NASDAQ:MRNA)
Historical Stock Chart
From Mar 2024 to Apr 2024
Moderna (NASDAQ:MRNA)
Historical Stock Chart
From Apr 2023 to Apr 2024