Moderna CFO vests 11,797 RSUs, withholds shares

Moderna’s CFO received common shares from RSU vesting, with a portion withheld to cover tax obligations.

Available on EDGAR 09/08/2026 - 05:02 PM EDT Accepted by SEC EDGAR 09/08/2026 - 05:02 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Moderna, Inc. (MRNA) reported that Chief Financial Officer James M. Mock exercised restricted stock units into common stock as part of a scheduled vesting. On September 4, 2026, 11,797 restricted stock units converted into 11,797 shares of common stock on a one-for-one basis, and 5,704 of those shares were withheld to satisfy tax withholding obligations. After the conversion, Mock held 106,179 restricted stock units directly, with future vesting occurring in equal quarterly installments as previously scheduled; no Rule 10b5-1 trading plan is reported.

Insider Trade Summary

11,797 shares exercised/converted

Exercise 3 txns

Insider Mock James M

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Exercise	Restricted Stock Units F1, F3	11,797	$0.00	$0.00
Exercise	Common Stock F1	11,797	--	--
Tax Withholding	Common Stock F2	5,704	$148.87	$849K

Holdings After Transaction: Restricted Stock Units — 106,179 contracts (Direct); Common Stock — 74,375 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 December 5, 2025, with the remainder vesting in twelve (12) equal quarterly installments thereafter.

Key Figures

RSUs converted: 11,797 units Common shares received: 11,797 shares Shares withheld for taxes: 5,704 shares +4 more

7 metrics

RSUs converted 11,797 units Restricted stock units converted into common stock on September 4, 2026

Common shares received 11,797 shares Shares of Moderna common stock issued upon RSU conversion on September 4, 2026

Shares withheld for taxes 5,704 shares Shares of common stock withheld to satisfy tax withholding obligations on September 4, 2026

Tax withholding price $148.87 per share Per-share value used for shares withheld for tax liability on September 4, 2026

RSUs remaining after transaction 106,179 units Restricted stock units directly held by the CFO following the September 4, 2026 conversion

Initial vesting portion 25% Portion of RSU award that vested on December 5, 2025

Remaining vesting installments 12 quarterly installments Schedule for vesting of remaining RSU award after December 5, 2025

Key Terms

Restricted Stock Units, tax withholding obligations, vested, Exercise or conversion of derivative security, +1 more

5 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

"shares withheld at the election of the Reporting Person to satisfy tax withholding obligations"

vested financial

"vested on December 5, 2025, with the remainder vesting in twelve (12) equal quarterly installments"

Exercise or conversion of derivative security financial

"transaction code description: Exercise or conversion of derivative security"

Payment of tax liability by delivering or withholding securities financial

"transaction code description: Payment of tax liability by delivering or withholding securities"

FAQ

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

What insider equity transactions did Moderna (MRNA) disclose for its CFO?

On September 4, 2026, Moderna’s CFO James M. Mock had 11,797 restricted stock units convert into 11,797 shares of common stock, with 5,704 shares withheld to satisfy tax withholding obligations related to the vesting.

How many Moderna (MRNA) restricted stock units does the CFO hold after this Form 4?

After the September 4, 2026 transaction, James M. Mock held 106,179 restricted stock units directly. These units represent unvested awards that continue to vest on a defined schedule described in the award terms.

What was the tax withholding share price in the Moderna (MRNA) CFO’s Form 4?

For the tax withholding on September 4, 2026, 5,704 shares of Moderna common stock were withheld at a price of $148.87 per share to satisfy the CFO’s tax withholding obligations tied to the RSU vesting.

Was the Moderna (MRNA) CFO’s September 2026 transaction under a Rule 10b5-1 plan?

No. The filing indicates no Rule 10b5-1 trading plan for these transactions. The activity reflects the vesting and settlement of restricted stock units and associated tax withholding, rather than discretionary open-market trades under a pre-arranged plan.

What is the vesting schedule for the Moderna (MRNA) CFO’s RSU award mentioned in the Form 4?

For the RSU award referenced, 25% of the shares vested on December 5, 2025, with the remainder vesting in 12 equal quarterly installments thereafter. The September 4, 2026 conversion forms part of this ongoing vesting schedule.

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

Form 4 Insider Transactions: What Each Field Means →

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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)
09/04/2026

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	09/04/2026		M(1)		11,797	A	(1)	80,079	D
Common Stock	09/04/2026		F(2)		5,704	D	$148.87	74,375	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)	09/04/2026		M(1)			11,797	(3)	(3)	Common Stock	11,797	$0	106,179	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 December 5, 2025, with the remainder vesting in twelve (12) equal quarterly installments thereafter.

	/s/ James Dillon, As Attorney-in-Fact	09/08/2026
	** 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)