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Moderna (MRNA) CFO details RSU vesting and tax share withholding in Form 4

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Moderna, Inc.’s Chief Financial Officer James M. Mock reported routine equity compensation activity. On June 5, 2026, 11,798 restricted stock units converted into the same number of common shares on a one-for-one basis. To cover tax withholding obligations tied to this vesting, 5,705 common shares were withheld rather than sold on the open market. After these transactions, he directly holds 65,687 shares of common stock and 117,976 restricted stock units, reflecting ongoing equity-based compensation rather than discretionary buying or selling.

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Insider Mock James M
Role Chief Financial Officer
Type Security Shares Price Value
Exercise Restricted Stock Units 11,798 $0.00 --
Exercise Common Stock 11,798 $0.00 --
Tax Withholding Common Stock 5,705 $51.59 $294K
Holdings After Transaction: Restricted Stock Units — 117,976 shares (Direct, null); Common Stock — 71,392 shares (Direct, null)
Footnotes (1)
  1. Restricted stock units convert into common stock on a one-for-one basis. Represents shares withheld at the election of the Reporting Person to satisfy tax withholding obligations in connection with the vest of restricted stock units. 25% of the shares subject to this restricted stock unit award vested on December 5, 2025, with the remainder vesting in twelve (12) equal quarterly installments thereafter.
RSUs converted 11,798 shares Restricted stock units converting into common stock on June 5, 2026
Shares withheld for taxes 5,705 shares Tax withholding disposition related to RSU vesting
Price reference for withholding $51.59 per share Value used for tax-withholding share disposition
Common stock held after 65,687 shares Direct common stock ownership following transactions
RSUs held after 117,976 units Restricted stock unit balance following conversion
Exercise transactions 1 transaction, 11,798 shares Derivative exercise/conversion counted in transaction summary
Tax-withholding transactions 1 transaction, 5,705 shares Tax-withholding disposition counted in transaction summary
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 ... to satisfy tax withholding obligations in connection with the vest of restricted stock units."
derivative exercise/conversion financial
"transaction_action: derivative exercise/conversion"
Form 4 regulatory
"INSIDER FILING DATA (Form 4):"
Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.
non-derivative financial
"transaction_type: non-derivative"
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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)
Director10% Owner
XOfficer (give title below)Other (specify below)
Chief Financial Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/05/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock06/05/2026M(1)11,798A(1)71,392D
Common Stock06/05/2026F(2)5,705D$51.5965,687D
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units(1)06/05/2026M(1)11,798 (3) (3)Common Stock11,798$0117,976D
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 December 5, 2025, with the remainder vesting in twelve (12) equal quarterly installments thereafter.
/s/ James Dillon, As Attorney-in-Fact06/08/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR

FAQ

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

Moderna CFO James Mock reported vesting of 11,798 restricted stock units that converted into common shares, plus 5,705 shares withheld to cover tax obligations. These are routine compensation-related transactions, not open-market purchases or sales.

Did Moderna (MRNA) CFO James Mock sell shares on the open market?

No, the Form 4 shows 5,705 shares were disposed of solely to satisfy tax withholding obligations related to RSU vesting. This is a standard non-market mechanism and does not represent a discretionary sale of shares into the market.

How many Moderna (MRNA) shares did the CFO acquire through RSU conversion?

The CFO acquired 11,798 shares of Moderna common stock through conversion of an equal number of restricted stock units. The footnotes state restricted stock units convert into common stock on a one-for-one basis as part of his equity compensation.

What are James Mock’s Moderna (MRNA) holdings after these transactions?

Following the reported transactions, James Mock directly holds 65,687 shares of Moderna common stock and 117,976 restricted stock units. These figures reflect his updated equity position after the RSU vesting and related tax withholding share disposition.

Why were 5,705 Moderna (MRNA) shares withheld in this Form 4?

The 5,705 shares were withheld at James Mock’s election to satisfy tax withholding obligations triggered by the vesting of restricted stock units. The filing notes this tax-withholding disposition rather than an open-market sale of shares.

How do Moderna (MRNA) CFO RSU awards vest over time?

For this award, 25% of the restricted stock units vested on December 5, 2025, with the remaining 75% vesting in twelve equal quarterly installments. This schedule provides ongoing equity compensation as units convert into common stock over time.