Moderna CFO reports RSU vesting, tax withholding

Moderna, Inc. Chief Financial Officer James M. Mock reported equity compensation activity involving restricted stock units and related common stock on March 5, 2026.

Rhea-AI Filing Summary

Moderna, Inc. Chief Financial Officer James M. Mock reported equity compensation activity involving restricted stock units and related common stock on March 5, 2026. He acquired 11,797 shares of common stock through the exercise of restricted stock units that convert into common stock on a one-for-one basis. The filing also reports 5,704 common shares disposed of to satisfy tax withholding obligations in connection with the vesting of these restricted stock units, leaving him with 56,998 common shares held directly after the tax withholding transaction.

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	11,797	$0.00	$0.00
Exercise	Common Stock	11,797	$0.00	$0.00
Exercise Price or Tax Liability	Common Stock	5,704	$57.80	$330K

Holdings After Transaction: Restricted Stock Units — 129,774 contracts (Direct); Common Stock — 56,998 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.

FAQ

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

What insider transactions did Moderna (MRNA) CFO James M. Mock report?

James M. Mock reported the vesting of restricted stock units converting into 11,797 Moderna common shares and a related disposition of 5,704 shares for tax withholding. These transactions reflect equity compensation mechanics rather than an open-market stock purchase or sale.

Was the Moderna (MRNA) CFO’s Form 4 transaction an open-market stock sale?

No. The Form 4 shows a tax-withholding disposition of 5,704 Moderna common shares to cover obligations from restricted stock unit vesting. This is recorded under transaction code F, which indicates payment of tax liability by delivering securities, not an open-market sale.

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

James M. Mock acquired 11,797 Moderna common shares when restricted stock units converted on a one-for-one basis. This derivative exercise is coded M, indicating conversion of a derivative security into common stock as part of his equity compensation package.

How many Moderna (MRNA) shares were withheld for taxes in the CFO’s Form 4?

The Form 4 reports 5,704 Moderna common shares withheld at James M. Mock’s election to satisfy tax withholding obligations tied to restricted stock unit vesting. This tax-related disposition is coded F and does not represent a discretionary market sale of shares.

What does the vesting schedule footnote mean for Moderna (MRNA) CFO’s RSUs?

The footnote explains that 25% of the restricted stock unit award vested on December 5, 2025, with the remaining units vesting in twelve equal quarterly installments. This schedule gradually delivers additional Moderna common shares to James M. Mock over time as service-based conditions are met.

How many Moderna (MRNA) common shares does the CFO hold after these transactions?

After the reported March 5, 2026 transactions, James M. Mock directly holds 56,998 Moderna common shares. This figure reflects the RSU conversion into 11,797 shares and the tax-withholding disposition of 5,704 shares recorded in the same Form 4 filing.

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

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Accepted by SEC EDGAR 03/06/2026 - 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 MA 02142

(City) (State) (Zip)

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

3. Date of Earliest Transaction (Month/Day/Year)
03/05/2026

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

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

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

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	03/05/2026		M(1)		11,797	A	(1)	62,702	D
Common Stock	03/05/2026		F(2)		5,704	D	$57.8	56,998	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)	03/05/2026		M(1)			11,797	(3)	(3)	Common Stock	11,797	$0	129,774	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	03/06/2026
	** 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).
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