Moderna, Inc. filings document the regulatory, financial and governance record of a commercial-stage mRNA biotechnology company. Form 8-K reports cover operating results, Regulation FD updates, FDA communications for investigational vaccine submissions, material agreements, patent-litigation settlements and financing arrangements tied to the company's vaccine and therapeutic portfolio.
Proxy and annual-meeting filings disclose board elections, shareholder voting results, executive compensation and governance provisions, including bylaw amendments. The filings also record capital-structure matters such as credit facilities, risk and disclosure controls around pipeline development, and formal updates related to products including Spikevax, mRESVIA, mNEXSPIKE and mCOMBRIAX.
Moderna, Inc. Chief Legal Officer Shannon Thyme Klinger reported equity compensation activity involving restricted stock units and common shares. On March 5, 2026, 11,797 restricted stock units were exercised into 11,797 shares of common stock at a stated price of $0.00 per share.
On the same date, 5,704 shares of common stock were disposed of at $57.80 per share to satisfy tax withholding obligations in connection with the vesting of the restricted stock units. After these transactions, Klinger directly held 65,782 shares of common stock and 129,774 restricted stock units, with the restricted stock units converting into common stock on a one-for-one basis.
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.
Moderna, Inc. entered a major settlement with Arbutus Biopharma and Genevant to resolve all worldwide patent litigation tied to Spikevax, mRESVIA and other infectious disease vaccines using SM-102 lipid nanoparticles. Moderna will pay a $950 million noncontingent lump sum by July 8, 2026.
Depending on the outcome of its appeal over the applicability of 28 U.S.C. § 1498 to certain U.S. government–supplied doses, Moderna may also owe a contingent lump sum of up to $1.3 billion, subject to proration and potential repayment with interest. In return, Moderna receives a fully paid-up, royalty-free, irrevocable worldwide license and covenant not to sue covering its infectious disease vaccine portfolio, with no future royalties owed.
Moderna, Inc. Chief Executive Officer Stephane Bancel reported receiving a grant of 250,932 stock options with an exercise price of $0.00 per share. According to the filing, 25% of this option will vest and become exercisable on March 1, 2027, with the remaining 75% vesting in twelve equal quarterly installments thereafter.
After this grant, Bancel is shown as directly holding 6,187,791 shares of Moderna common stock. The filing also reports additional common stock held indirectly through entities Boston Biotech Ventures and OCHA LLC in amounts of 9,210,686 and 6,564,880 shares, respectively, with Bancel disclaiming beneficial ownership except to the extent of any pecuniary interest.
Moderna, Inc. reported multiple equity transactions involving President Stephen Hoge. On March 1, 2026, he received a stock option covering 125,466 shares and a new award of 165,230 restricted stock units, each at an exercise or acquisition price of $0.00 per share. The new option and RSU awards begin vesting on March 1, 2027, with 25% vesting then and the remainder in twelve equal quarterly installments.
On February 27, 2026, several existing restricted stock unit awards were exercised, converting into common stock on a one-for-one basis. In connection with these vests, portions of the resulting shares were delivered at $51.71 per share to satisfy tax withholding obligations. Following these transactions, Hoge held 1,477,997 shares of common stock directly, plus additional indirect holdings of common stock by Valhalla, LLC and by a trust for his spouse and children, for which he disclaims beneficial ownership except for any pecuniary interest.
Moderna, Inc. Chief Legal Officer Shannon Thyme Klinger reported multiple equity transactions. She exercised stock options and restricted stock units that converted into common shares, then sold 13,885 common shares at $52.29 per share under a Rule 10b5-1 trading plan. Several grants of stock options and restricted stock units were also reported, and her direct common stock holdings were 59,689 shares after these transactions.
Moderna, Inc. Chief Financial Officer James M. Mock reported several equity compensation transactions. On March 1, 2026, he received a grant of 37,639 stock options and 49,569 restricted stock units (RSUs), with options and RSUs vesting 25% on March 1, 2027 and the remainder in twelve quarterly installments.
On February 27, 2026, multiple RSU awards converted into common stock on a one-for-one basis, and shares totaling 160, 375, and 4,788 were disposed of at $51.71 per share to cover tax withholding obligations. Following these transactions, Mock continued to hold common stock and derivative awards directly.
Moderna, Inc. president Stephen Hoge reported option exercises and a stock sale. On February 23, 2026, he exercised stock options covering 111,679 and 48,330 shares at an exercise price of $19.15 per share, receiving the same number of common shares. On the same date, he sold 160,009 Moderna common shares at an average price of $48.84 per share in an open-market transaction effected under a Rule 10b5‑1 trading plan adopted on November 13, 2025. After these transactions, he directly held 1,457,427 Moderna common shares. Separate indirect holdings include 4,116 shares held by Valhalla, LLC and 151,933 shares held by a trust for the benefit of his spouse and children, for which he disclaims beneficial ownership except to any pecuniary interest.