Moderna : Statement of Changes in Beneficial Ownership (Form 4)
July 02, 2022 at 01:53 am IST
Share
Ownership Submission
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. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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If the form is filed by more than one reporting person, see Instruction 5(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).
(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 $140.08 to $141.04. 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 $141.12 to $142.12. 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 $142.13 to $143.13. 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 $143.14 to $144.10. 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 $135.70 to $136.70. 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 $136.72 to $137.71. 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 $137.83 to $138.55. 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 $139.00 to $139.96. 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 $140.02 to $140.91. 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 $141.17 to $142.17. 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 $142.27 to $143.27. 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 $143.29 to $144.25. 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 $144.30 to $145.30. 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 $145.31 to $146.22. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
(16)
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $146.32 to $147.32. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
(17)
This sale was effected pursuant to a Rule 10b5-1 trading plan adopted on December 18, 2018, as amended on September 16, 2019.
(18)
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.
(19)
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.
(20)
This option is fully vested and exercisable.
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure.Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
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Moderna Inc. published this content on 01 July 2022 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 01 July 2022 20:22:10 UTC.
Moderna, Inc. is a biotechnology company specialized in research and development of therapeutics and vaccines for cancer, infectious, autoimmune and cardiovascular diseases. Net sales break down by type of revenue as follows:
- revenue from product sales (95.7%) ;
- revenues from grants (4%);
- revenues from collaboration agreements (0.3%).
At the end of 2021, the group possessed a portfolio of 15 products in clinical development, of which 3 in phase III, 8 in phase II and 4 in phase I, and 12 products in preclinical development.
Net sales are distributed geographically as follows: the United States (33.4%), Europe (37.1%) and other (29.5%).