Moderna CFO exercises 2,475 RSUs, shares withheld

Moderna, Inc. Chief Financial Officer James M. Mock reported routine equity compensation activity involving restricted stock units and related tax withholding.

Rhea-AI Filing Summary

Moderna, Inc. Chief Financial Officer James M. Mock reported routine equity compensation activity involving restricted stock units and related tax withholding. He exercised 2,475 restricted stock units, which convert into common stock on a one-for-one basis, adding the same number of common shares.

To cover tax withholding obligations on this vesting, 1,197 common shares were withheld, at a value of $47.19 per share, rather than sold in the open market. Following these transactions, Mock directly holds 59,594 shares of common stock and 27,230 restricted stock units subject to future vesting under the disclosed schedule.

Insider Trade Summary

2,475 shares exercised/converted

Exercise 3 txns

Insider Mock James M

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Exercise	Restricted Stock Units	2,475	$0.00	$0.00
Exercise	Common Stock	2,475	$0.00	$0.00
Exercise Price or Tax Liability	Common Stock	1,197	$47.19	$56K

Holdings After Transaction: Restricted Stock Units — 27,230 contracts (Direct); Common Stock — 59,594 shares (Direct)

Footnotes (3)

1. F1. Restricted stock units convert into common stock on a one-for-one basis.
2. F2. Represents shares withheld at the election of the Reporting Person to satisfy tax withholding obligations in connection with the vest of restricted stock units.
3. F3. 25% of the shares subject to this restricted stock unit award vested on March 1, 2026 with the remainder vesting in twelve (12) equal quarterly installments thereafter.

Key Figures

RSUs exercised: 2,475 units Shares withheld for taxes: 1,197 shares Tax withholding share value: $47.19 per share +3 more

6 metrics

RSUs exercised 2,475 units Restricted stock units converting one-for-one into common stock

Shares withheld for taxes 1,197 shares Common stock withheld to satisfy tax obligations on RSU vesting

Tax withholding share value $47.19 per share Value of common shares withheld for tax obligations

Common shares after transaction 60,791 shares Direct common stock holdings of James M. Mock following transactions

RSUs remaining 27,230 units Restricted stock units held after reported vesting and conversion

Net buy/sell shares 0 shares transactionSummary netBuySellShares indicates neutral net trading

Key Terms

Restricted Stock Units, tax withholding obligations, derivative security, vesting

4 terms

Restricted Stock Units financial

"Restricted stock units convert into common stock on a one-for-one basis."

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

tax withholding obligations financial

"Represents shares withheld at the election of the Reporting Person to satisfy tax withholding obligations in connection with the vest of restricted stock units."

derivative security financial

"transaction_code_description": "Exercise or conversion of derivative security""

A derivative security is a financial contract whose value comes from the price or performance of something else, such as a stock, bond, commodity, or market index. For investors it acts like an insurance policy or a wager: it can be used to protect against losses, lock in prices, or amplify gains and losses, so it can change a portfolio’s risk and potential return without owning the underlying asset directly.

vesting financial

"25% of the shares subject to this restricted stock unit award vested on March 1, 2026 with the remainder vesting in twelve (12) equal quarterly installments thereafter."

Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did Moderna (MRNA) CFO James Mock report in this Form 4?

Moderna CFO James M. Mock reported routine equity compensation activity. He exercised 2,475 restricted stock units into common stock and had 1,197 common shares withheld to satisfy tax obligations tied to the vesting event.

How many Moderna shares did the CFO receive from restricted stock units?

James M. Mock received 2,475 common shares from the vesting and conversion of restricted stock units. The filing states restricted stock units convert into common stock on a one-for-one basis, directly increasing his common stock holdings by that amount.

Why were 1,197 Moderna shares withheld in this insider transaction?

The 1,197 common shares were withheld at James M. Mock’s election to satisfy tax withholding obligations. The filing explains these shares relate to the vesting of restricted stock units and represent a tax-withholding disposition, not an open-market sale.

What are James Mock’s Moderna common stock holdings after the transactions?

After the reported transactions, James M. Mock directly holds 60,791 shares of Moderna common stock. This figure reflects the net result after receiving 2,475 shares from restricted stock unit conversion and having 1,197 shares withheld for taxes.

How many restricted stock units does the Moderna CFO still hold?

Following the vesting and conversion event, James M. Mock holds 27,230 restricted stock units. A footnote explains that 25% of this award vested on March 1, 2026, with the remaining units vesting in twelve equal quarterly installments thereafter.

Does this Moderna Form 4 show any open-market stock sales by the CFO?

The Form 4 does not show any open-market sales by James M. Mock. It reports a tax-withholding disposition of 1,197 shares at $47.19 per share, tied to restricted stock unit vesting, and the exercise of restricted stock units into common shares.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 06/03/2026 - 04:21 PM Learn about SEC filing dates

SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

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^*

Mock James M

(Last) (First) (Middle)

C/O MODERNA, INC.

325 BINNEY STREET

(Street)

CAMBRIDGE MASSACHUSETTS 02142

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Moderna, Inc. [ MRNA ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Financial Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/01/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	06/01/2026		M(1)		2,475	A	(1)	60,791	D
Common Stock	06/01/2026		F(2)		1,197	D	$47.19	59,594	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Restricted Stock Units	(1)	06/01/2026		M(1)			2,475	(3)	(3)	Common Stock	2,475	$0	27,230	D

Explanation of Responses:

1. Restricted stock units convert into common stock on a one-for-one basis.

2. Represents shares withheld at the election of the Reporting Person to satisfy tax withholding obligations in connection with the vest of restricted stock units.

3. 25% of the shares subject to this restricted stock unit award vested on March 1, 2026 with the remainder vesting in twelve (12) equal quarterly installments thereafter.

	/s/ James Dillon, As Attorney-in-Fact	06/03/2026
	** Signature of Reporting Person	Date
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.
* Form 4: SEC 1474 (03-26)