# EDGAR Filing Document

**Accession Number:** 0001443340
**File Stem:** 0001127602-23-003346
**Filing Date:** 2023-2
**Character Count:** 12765
**Document Hash:** 501dac6b75705028e470a8b37a927239
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001127602-23-003346.hdr.sgml**: 20230203

**ACCESSION NUMBER**: 0001127602-23-003346

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230201

**FILED AS OF DATE**: 20230203

**DATE AS OF CHANGE**: 20230203

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Bancel Stephane
- **CENTRAL INDEX KEY:** 0001443340

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38753
- **FILM NUMBER:** 23586596

**MAIL ADDRESS:**
- **STREET 1:** 320 BENT STREET
- **CITY:** CAMBRIDGE
- **STATE:** MA
- **ZIP:** 02141
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Moderna, Inc.
- **CENTRAL INDEX KEY:** 0001682852
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **IRS NUMBER:** 813467528
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 200 TECHNOLOGY SQUARE
- **CITY:** CAMBRIDGE
- **STATE:** MA
- **ZIP:** 02139
- **BUSINESS PHONE:** 6177146500

**MAIL ADDRESS:**
- **STREET 1:** 200 TECHNOLOGY SQUARE
- **CITY:** CAMBRIDGE
- **STATE:** MA
- **ZIP:** 02139

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Moderna Therapeutics, Inc.
- **DATE OF NAME CHANGE:** 20160822

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Bancel Stephane<br><sub>(Last) (First) (Middle)</sub><br>C/O MODERNA, INC.<br>200 TECHNOLOGY SQUARE<br><sub>(Street)</sub><br>CAMBRIDGE, MA 02139<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-01 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Executive Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Moderna, Inc. [ MRNA ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-02-01 |  | M<sup>(1)</sup> |  | 40000 | A | $0.99 | 5451946 | D |  |
| Common Stock | 2023-02-01 |  | S<sup>(1)</sup> |  | 5848 | D | 167.97<sup>(2)</sup> | 5446098 | D |  |
| Common Stock | 2023-02-01 |  | S<sup>(1)</sup> |  | 16742 | D | 168.75<sup>(3)</sup> | 5429356 | D |  |
| Common Stock | 2023-02-01 |  | S<sup>(1)</sup> |  | 6024 | D | 169.85<sup>(4)</sup> | 5423332 | D |  |
| Common Stock | 2023-02-01 |  | S<sup>(1)</sup> |  | 1629 | D | 170.67<sup>(5)</sup> | 5421703 | D |  |
| Common Stock | 2023-02-01 |  | S<sup>(1)</sup> |  | 600 | D | 171.89<sup>(6)</sup> | 5421103 | D |  |
| Common Stock | 2023-02-01 |  | S<sup>(1)</sup> |  | 1957 | D | 173.03<sup>(7)</sup> | 5419146 | D |  |
| Common Stock | 2023-02-01 |  | S<sup>(1)</sup> |  | 2503 | D | 174.21<sup>(8)</sup> | 5416643 | D |  |
| Common Stock | 2023-02-01 |  | S<sup>(1)</sup> |  | 4697 | D | 174.82<sup>(9)</sup> | 5411946 | D |  |
| Common Stock | 2023-02-02 |  | M<sup>(1)</sup> |  | 40000 | A | $0.99 | 5451946 | D |  |
| Common Stock | 2023-02-02 |  | S<sup>(1)</sup> |  | 2001 | D | 171.11<sup>(10)</sup> | 5449945 | D |  |
| Common Stock | 2023-02-02 |  | S<sup>(1)</sup> |  | 1589 | D | 172.04<sup>(11)</sup> | 5448356 | D |  |
| Common Stock | 2023-02-02 |  | S<sup>(1)</sup> |  | 8908 | D | 173.19<sup>(12)</sup> | 5439448 | D |  |
| Common Stock | 2023-02-02 |  | S<sup>(1)</sup> |  | 10263 | D | 174.25<sup>(13)</sup> | 5429185 | D |  |
| Common Stock | 2023-02-02 |  | S<sup>(1)</sup> |  | 15790 | D | 175.03<sup>(14)</sup> | 5413395 | D |  |
| Common Stock | 2023-02-02 |  | S<sup>(1)</sup> |  | 1449 | D | 175.79<sup>(15)</sup> | 5411946 | D |  |
| Common Stock |  |  |  |  |  |  |  | 9050372 | I | See Footnote<sup>(16)</sup> |
| Common Stock |  |  |  |  |  |  |  | 6564880 | I | See Footnote<sup>(17)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Stock Option (Right to Buy) | $0.99 | 2023-02-01 |  | M<sup>(1)</sup> |  |  | 40000 | <sup>(18)</sup> | 2023-08-19 | Common Stock | 40000 | $0 | 1667155 | D |  |
| Stock Option (Right to Buy) | $0.99 | 2023-02-02 |  | M<sup>(1)</sup> |  |  | 40000 | <sup>(18)</sup> | 2023-08-19 | Common Stock | 40000 | $0 | 1627155 | D |  |

---

### Footnotes:

(1) 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.

(2) The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $167.32 to $168.32. 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 $168.33 to $169.33. 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 $169.35 to $170.35. 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 $170.40 to $171.28. 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 $171.57 to $172.28. 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 $172.61 to $173.45. 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 $173.67 to $174.60. 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 $174.68 to $175.63. 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 $170.52 to $171.48. 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 $171.54 to $172.52. 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 $172.55 to $173.49. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.

(13) The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $173.60 to $174.60. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.

(14) The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $174.62 to $175.62. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.

(15) The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $175.64 to $176.10. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.

(16) 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.

(17) 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.

(18) This option is fully vested and exercisable.

**Signature:** /s/ Brian Sandstrom, as Attorney-in-Fact  
**Date:** 2023-02-03

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**