SEC Form 4 · accession 0000899243-18-030855

Moderna, Inc. · MRNA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Financial Officer

Period of report

Dec 11, 2018

Accepted (ET)

Dec 13, 2018 · 4:17 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 Stock^F1,F2	Dec 11, 2018	C	458	—	A	1,147,327	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series E Preferred Stock^F1	—	Dec 11, 2018	C	458	D	—	—	Common Stock	458	0	D

F1The Series E Preferred Stock converted into Common Stock based on an applicable conversion ratio of 0.45859 upon the closing of the Issuer's initial public offering on December 11, 2018 (the "Offering"). The Series E Preferred Stock had no expiration date.
F2Of the shares reported in this column, (i) 40,954 shares 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 April 9, 2015, and the remainder vests in 12 quarterly installment and (ii) 273,027 shares 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 November 18, 2015, and the remainder vests in 12 quarterly installments.