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Moderna, Inc. — Director's Dealing 2020
Nov 4, 2020
30610_dirs_2020-11-04_db7b17fb-cc85-4463-9314-1ebacae87139.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Moderna, Inc. (MRNA)
CIK: 0001682852
Period of Report: 2020-11-02
Reporting Person: Zaks Tal Zvi (Chief Medical Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-11-02 | Common Stock | M | 5000 | $12.21 | Acquired | 5000 | Direct |
| 2020-11-02 | Common Stock | M | 10000 | $19.15 | Acquired | 15000 | Direct |
| 2020-11-02 | Common Stock | S | 13900 | $67.11 | Disposed | 1100 | Direct |
| 2020-11-02 | Common Stock | S | 1100 | $67.88 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-11-02 | Stock Option (Right to Buy) | $12.21 | M | 5000 | Disposed | 2027-10-03 | Common Stock (5000) | Direct |
| 2020-11-02 | Stock Option (Right to Buy) | $19.15 | M | 10000 | Disposed | 2026-08-10 | Common Stock (10000) | Direct |
Footnotes
F1: The reported transaction was effected pursuant to a Rule 10b5-1 trading plan adopted on March 13, 2020.
F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $66.58 to $67.58. 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 $67.60 to $68.19. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
F4: 229,358 of the options will vest over 4 years (25% on the first anniversary of the grant date of October 3, 2017, then quarterly for the next 3 years). 137,614 of the options will vest over 5 years (25% on the second anniversary of the grant date of October 3, 2017, then quarterly for the next 3 years). 91,743 of the options will vest over 6 years (25% on the third anniversary of the grant date of October 3, 2017, then quarterly for the next 3 years).
F5: This option is fully vested and exercisable.