SEC Form 3 · accession 0000899243-18-030416
Moderna, Inc. · MRNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tal Zvi Zaks
Officer — Chief Medical Officer
Period of report
Dec 7, 2018
Accepted (ET)
Dec 7, 2018 · 5:33 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001682852
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 204,770 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $19.15 | holding | — | — | — | — | Aug 10, 2026 | Common Stock | 483,302 | — | D |
| Stock Option (Right to Buy)F3 | $12.21 | holding | — | — | — | — | Feb 23, 2027 | Common Stock | 183,486 | — | D |
| Stock Option (Right to Buy)F4 | $12.21 | holding | — | — | — | — | Oct 3, 2027 | Common Stock | 458,715 | — | D |
| Stock Option (Right to Buy)F5 | $14.22 | holding | — | — | — | — | Feb 28, 2028 | Common Stock | 160,550 | — | D |
Explanation of responses
- F1The 204,770 shares reported in this column are subject to a restricted stock grant dated August 10, 2016, which vests as follows: 25% of the Shares to vest on the first anniversary of the vest start date of March 16, 2015, and the remainder vests in 12 quarterly installments.
- F225% of this option vested and became exercisable on March 16, 2016, with the remainder vesting in 12 equal quarterly installments thereafter.
- F325% of this option vested and became exercisable on February 22, 2018 with the remainder vesting in 12 equal quarterly installments thereafter.
- F4229,358 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).
- F525% of this option will vest and become exercisable on February 27, 2019 with the remainder vesting in 12 equal quarterly installments thereafter.
Remarks
Exhibit 24.1: Power of Attorney