11 March 2021

EMA/15689/2021 Corr.1*1
Committee for Medicinal Products for Human Use (CHMP)

Assessment report
COVID-19 Vaccine Moderna

Common name: COVID-19 mRNA Vaccine (nucleoside-modified)

Procedure No. EMEA/H/C/005791/0000

Note
Assessment report as adopted by the CHMP with all information of a commercially confidential
nature deleted.

1
*Correction dated 11 March 2021 to clarify ERA statment

Official address Domenico Scarlattilaan 6 ● 1083 HS Amsterdam ● The Netherlands

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© European Medicines Agency, 2021. Reproduction is authorised provided the source is acknowledged.
Table of contents
1. Background information on the procedure .............................................. 9
1.1. Submission of the dossier ............................................................................. 9
1.2. Steps taken for the assessment of the product..................................................11
2. Scientific discussion.............................................................................. 13
2.1. Problem statement ....................................................................................13
2.1.1. Disease or condition ................................................................................13
2.1.2. Epidemiology and risk factors.....................................................................13
2.1.3. Aetiology and pathogenesis .......................................................................13
2.1.4. Clinical presentation and diagnosis ..............................................................14
2.1.5. Management .........................................................................................14
2.2. Quality aspects .........................................................................................16
2.2.1. Introduction ..........................................................................................16
2.2.2. Active Substance ....................................................................................16
2.2.3. Finished Medicinal Product ........................................................................21
2.2.4. Discussion on chemical, pharmaceutical aspects and biological aspects.................37
2.2.5. Impact on the benefit-risk assessment: ........................................................40
2.2.6. Conclusions on chemical, pharmaceutical and biological aspects..........................40
2.2.7. Recommendations for future quality development ...........................................43
2.3. Non-clinical aspects ...................................................................................43
2.3.1. Introduction ..........................................................................................43
2.3.2. Pharmacology ........................................................................................45
2.3.3. Pharmacokinetics....................................................................................47
2.3.4. Toxicology ............................................................................................48
2.3.5. Ecotoxicity/environmental risk assessment ....................................................51
2.3.6. Discussion on non-clinical aspects ...............................................................51
2.3.7. Conclusion on the non-clinical aspects..........................................................55
2.4. Clinical aspects .........................................................................................55
2.4.1. Introduction ..........................................................................................55
2.4.2. Clinical Pharmacology ..............................................................................60
2.4.3. Discussion on clinical pharmacology.............................................................76
2.4.4. Conclusions on clinical pharmacology ...........................................................79
2.5. Clinical eff icacy.........................................................................................80
2.5.1. Dose response study(ies)..........................................................................80
2.5.2. Main study ............................................................................................80
2.5.3. Discussion on clinical efficacy................................................................... 105
2.5.4. Conclusions on the clinical efficacy ............................................................ 110
2.6. Clinical safety......................................................................................... 111
2.6.1. Patient exposure................................................................................... 111
2.6.2. Adverse events .................................................................................... 112
2.6.3. Serious adverse event/deaths/other signif icant events ................................... 115
2.6.4. Laboratory f indings ............................................................................... 117
2.6.5. Safety in special populations.................................................................... 117
2.6.6. Immunological events............................................................................ 119
2.6.7. Safety related to drug-drug interactions and other interactions......................... 119

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2.6.8. Discontinuation due to adverse events ....................................................... 119
2.6.9. Post-marketing experience...................................................................... 119
2.6.10. Discussion on clinical safety ................................................................... 120
2.6.11. Conclusions on the clinical safety ............................................................ 126
2.7. Risk Management Plan.............................................................................. 127
2.8. Pharmacovigilance................................................................................... 141
2.9. New Active Substance .............................................................................. 141
2.10. Product inf ormation................................................................................ 142
2.10.1. User consultation ................................................................................ 142
2.10.2. Labelling exemptions ........................................................................... 142
2.10.3. Quick Response (QR) code..................................................................... 144
2.10.4. Additional monitoring ........................................................................... 144
3. Benefit-Risk Balance ........................................................................... 144
3.1. Therapeutic Context................................................................................. 144
3.1.1. Disease or condition .............................................................................. 144
3.1.2. Available therapies and unmet medical need................................................ 144
3.1.3. Main clinical studies............................................................................... 145
3.2. Favourable effects ................................................................................... 145
3.3. Uncertainties and limitations about favourable effects....................................... 146
3.4. Unfavourable effects ................................................................................ 147
3.5. Uncertainties and limitations about unfavourable effects.................................... 148
3.6. Effects Table .......................................................................................... 149
3.7. Benef it-risk assessment and discussion......................................................... 151
3.7.1. Importance of favourable and unfavourable effects........................................ 151
3.7.2. Balance of benef its and risks ................................................................... 152
3.7.3. Additional considerations on the benefit-risk balance...................................... 152
3.8. Conclusions ........................................................................................... 154
4. Recommendations............................................................................... 154

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List of abbreviations

AC adjudication committee

AE adverse event

AESI adverse events of special interest

ALP alkaline phosphatase

AR adverse reaction

ARDS acute respiratory distress syndrome

AST aspartate aminotransferase

bAb binding antibody

BAL bronchoalveolar lavage

BLA Biologics License Application

BWP EMA Biologics Working Party

CBER Center for Biologics Evaluation and Research

CCIT Container Closure Integrity Testing

CDC Centers for Disease Control and Prevention

CHMP Committee for Medicinal Products for Human Use

CI confidence interval

CIPC critical in-process control

CMA conditional marketing authorisation

CMV cytomegalovirus

CNS central nervous system

CoA Certificates of Analysis

COPD chronic obstructive pulmonary disease

CoV coronavirus

COVID-19 disease caused by the novel 2019 coronavirus

CPP critical process parameter

CQA Critical Quality Attributes

CSR clinical study report

CTD common technical document

DBL database lock

DMID Division of Microbiology and Infectious Diseases

DNA deoxyribonucleic acid

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DSMB data safety monitoring board

DSPC 1,2-distearoyl-sn-glycero-3-phosphocholine

ECDC European Centre for Disease Prevention and Control

ECMO extracorporeal membrane oxygenation

eCRF electronic case report form

eCTD electronic common technical document

ELISA enzyme-linked immunosorbent assay

EMA European Medicines Agency

EOS eosinophil

ETF COVID-19 EMA pandemic Task Force

EU European Union

ERD enhanced respiratory disease

EUA Emergency Use Authorisation

EURD European reference date

FAS Full Analysis Set

FDA Food and Drug Administration

FD&C Federal Food, Drug, and Cosmetic

FMEA failure mode and effects analysis

GCP good clinical practice

GLP good laboratory practice

GM geometric mean

GMFR geometric mean fold-rise

GMP good manufacturing practice

GMT geometric mean titer

hMPV human metapneumovirus

HIV human immunodeficiency virus

HR hazard ratio

IA interim analysis

IA#1 interim analysis #1

IBD international birth date

ICH International Council for Harmonisation of Technical Requirements for Pharmaceuticals for Human
Use

ICS intracellular cytokine staining

ID50 50% inhibitory dilution

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IgG immunoglobulin G

IM intramuscular

IN intranasal

IND Investigational New Drug (application)

INN international non-proprietary name

IP investigational product

IRT interactive response technology

IT intratracheally

ITT intent-to-treat

IVT in vitro transcription

LL lower limit

LLOQ lower limit of quantification

LOD limit of detection

LNP lipid nanoparticle

LOD limit of detection

LSS lipid stock solution

LTCF long-term care facilities

MA marketing authorisation

MAA marketing authorisation application

MAAE medically attended adverse event

MAH marketing authorisation holder

MCB master cell bank

MERS-CoV Middle East respiratory syndrome coronavirus

mITT modified intent-to-treat

MO major objection

MN microneutralisation

MN50 50% microneutralisation

mRNA messenger RNA

MRL Minimum Release Limit

MS member state

nAb neutralising antibody

NE not evaluable

NIAID National Institute of Allergy and Infectious Diseases

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NHP Nonhuman primates

NP nasopharyngeal

NTP nucleoside triphosphates

OCABR Official Control Authority Batch Release

OMCL Official Medicines Control Laboratory

PaO2/FiO2 arterial oxygen partial pressure to fractional inspired oxygen

PASS post-authorisation safety study

PBMC peripheral blood mononuclear cell

PBS phosphate-buffered saline

PEG Polyethylene glycol

PEG2000-DMG 1-monomethoxypolyethyleneglycol-2,3-dimyristylglycerol with polyethylene glycol of

average molecular weight 2000

Ph. Eur. Pharmacopoeia Europaea

PhV pharmacovigilance

PI product information

PIV3 parainfluenza virus type 3

PL package leaflet

PP per-protocol

PPQ process performance qualification

PRNT plaque-reduction neutralisation test

PSUR periodic safety update report

PsVNA pseudotyped lentivirus reporter single-round-of-infection neutralisation assay

PsVNT50 50% pseudotyped lentivirus reporter test

PT preferred term

QR quick response

RBD receptor binding domain

REC recommendation (EMA Post-Authorisation Measure - PAM)

RMP risk management plan

RNA ribonucleic acid

RT-PCR reverse transcription polymerase chain reaction

S-2P spike (S) protein modified with 2 proline substitutions within the heptad repeat 1 domain

SAE serious adverse event

SAP statistical analysis plan

SARS-CoV severe acute respiratory syndrome coronavirus

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SARS-CoV-2 2019 novel coronavirus

SM-102 heptadecan-9-yl 8-((2-hydroxyethyl)(6-oxo-6-(undecyloxy)hexyl)amino)octanoate

SMC safety monitoring committee

SmPC summary of product characteristics

SMQ Standardised MedDRA Query

SOC system organ class

sSAP supplementary statistical analysis plan

TEAE treatment-emergent adverse event

Th1 T-helper 1

Th2 T-helper 2

Tris- HCl tris(hydroxymethyl)aminomethane-hydrochloride; VRC = Vaccine Research Centre

TSE transmissible spongiform encephalopathy

ULOQ upper limit of quantification

US United States

USP United States Pharmacopeia

UTR untranslated region

UV ultraviolet

VAED vaccine-induced enhancement of disease

VAERD vaccine-associated enhanced respiratory disease

VE vaccine efficacy

WCB working cell bank

WHO World Health Organization

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1. Background information on the procedure

1.1. Submission of the dossier

The applicant Moderna Biotech Spain, S. L. submitted on 30 November 2020 an application for
marketing authorisation to the European Medicines Agency (EMA) for COVID-19 Vaccine Moderna,
through the centralised procedure falling within the Article 3(1) and point 1 of Annex of Regulation
(EC) No 726/2004. The eligibility to the centralised procedure was agreed upon by the EMA/CHMP on
12 October 2020.

The applicant applied for the following indication: ‘active immunisation to prevent COVID-19 caused by
SARS-CoV-2 virus in individuals 18 years of age and older’.

The legal basis for this application refers to:

Article 8.3 of Directive 2001/83/EC - complete and independent application

The application submitted is composed of administrative information, complete quality data, non-
clinical and clinical data based on applicants’ own tests and studies and/or bibliographic literature
substituting/supporting certain test(s) or study(ies).

Information on Paediatric requirements

Pursuant to Article 7 of Regulation (EC) No 1901/2006, the application included an EMA Decision
P/0481/2020 on the agreement of a paediatric investigation plan (PIP).

At the time of submission of the application, the PIP P/0481/2020 was not yet completed as some
measures were deferred.

Information relating to orphan market exclusivity

Similarity

Pursuant to Article 8 of Regulation (EC) No 141/2000 and Article 3 of Commission Regulation (EC) No
847/2000, the applicant did not submit a critical report addressing the possible similarity with
authorised orphan medicinal products because there is no authorised orphan medicinal product for a
condition related to the proposed indication.

Applicant’s requests for consideration

Conditional marketing authorisation

The applicant requested consideration of its application for a Conditional marketing authorisation in
accordance with Article 14-a of Regulation (EC) No 726/2004.

New active Substance status

The applicant requested the active substance CX-024414 (single-stranded, 5’-capped messenger RNA
(mRNA) produced using a cell-free in vitro transcription from the corresponding DNA templates,
encoding the viral spike (S) protein of SARS-CoV-2) contained in the above medicinal product to be
considered as a new active substance, as the applicant claims that it is not a constituent of a medicinal
product previously authorised within the European Union.

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Scientific advice

The applicant received the following Scientific advice on the development relevant for the indication
subject to the present application:

Date Reference SAWP co-ordinators

15 October 2020 EMEA/H/SA/4687/1/2020/III Dr Anders Lignell, Dr Hans Ovelgönne

The Scientific Advice pertained to the following quality/non-clinical and clinical aspects:

• Label for the preservative-free multi-dose vial

• Manufacturing control and absence of clinical lot consistency study
• Definition of the NTPs, enzymes and linearised plasmid DNA as raw materials
• Proposal to submit batch release data only to an Official medicines control laboratory (OMCL)
for fulfilment of Official control authority batch release (OCABR) requirements
• Approach to validation of process versions / scales and validation of different sites
• Potency testing of mRNA-1273
• Battery of preclinical studies conducted with mRNA-1273, supported by platform data on mRNA
vaccines formulated in the same LNP formulation
• Strategy to address the theoretical concern of vaccine induced enhanced respiratory disease
• Data package to support MAA, including requirements for vaccine efficacy, and safety database
• Submission at the time of first or second interim analysis of the phase 3 study, and criteria for
success
• Regulatory pathways to accelerate the availability of mRNA-1273 vaccine

Compliance with Scientific Advice

The applicant sought advice regarding the label for the preservative-free multi-dose vial,
manufacturing control and absence of a clinical lot consistency study, definition of the NTPs, enzymes
and linearised plasmid DNA as raw materials, the approach to validation of process versions / scales
and validation of different sites, and potency testing of mRNA-1273. In the main, the advice was
adopted by the applicant. Concerning the label, a statement on microbial contamination must be added
in line with Guideline CPMP/QWP/159/96 corr for unpreserved sterile products. The extractable volume
is tested at release; the procedures ensures that 10 doses can be withdrawn. Inclusion of additional
release attributes has been recommended. Except for numerical acceptance ranges for product related
impurities, this has been further discussed during the procedure and adequately addressed by the
applicant. The definitions of raw /starting materials were implemented as requested. Concerning
process validation and comparability the applicant followed the advice (several aspects were no longer
relevant as the applicant changed the strategy). Concerning potency the applicant sufficiently justified
the chosen approach for potency testing. Based on the provided data the applicant’s approach was
considered acceptable.

As regards the theoretical concern of COVID-19 vaccines to induce enhanced respiratory disease (ERD)
the CHMP concluded that there are currently no animal models to predict the risk of ERD. The strategy
proposed by the applicant to evaluate ERD in the ongoing phase 3 study by monitoring for early
evidence of a potential elevated rate of COVID-19 or severe COVID-19 in the mRNA-1273 group
compared to the placebo group was considered reasonable.

In addition, advice was given on the data package needed to support MAA, including requirements for
vaccine efficacy, and safety database, the submission at the time of first or second interim analysis of

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the phase 3 study, and criteria for success as well as regulatory pathways to accelerate the availability
of mRNA-1273 vaccine.

COVID-19 EMA pandemic Task Force (COVID-ETF)

In line with their mandate as per the EMA Emerging Health Threats Plan, the ETF undertook the
following activities in the context of this marketing authorisation application:

The ETF endorsed the Scientific Advice letter, confirmed eligibility to the rolling review procedure based
on the information provided by the applicant and agreed the start of the rolling review procedure.

Furthermore, the ETF discussed the (Co-)Rapporteur’s assessment reports overviews and provided
their recommendation to the CHMP in preparation of the written adoption rolling review procedures.
The corresponding interim opinions were subsequently adopted by the CHMP.

For the exact steps taken at ETF, please refer to section 1.2.

1.2. Steps taken for the assessment of the product

The Rapporteur and Co-Rapporteur appointed by the CHMP were:

Rapporteur: Jan Mueller-Berghaus Co-Rapporteur: Andrea Laslop

The ETF endorsed the Scientific Advice letter on 8 October 2020

The ETF agreed the request for early Rapporteur appointment on 13 October 2020

The CHMP confirmed eligibility to the centralised procedure on 15 October 2020

The ETF recommended to start the rolling review procedure on 12 November 2020

The applicant submitted documentation as part of a rolling review on

non-clinical data to support the marketing authorisation application 15 November 2020

The procedure (Rolling Review 1) started on 16 November 2020

The Rapporteur's first Assessment Report was circulated to all CHMP,

Peer Reviewer and ETF on 2 December 2020

The Rapporteurs circulated updated Joint Assessment reports to all

CHMP, Peer Reviewer and ETF on 9 December 2020

ETF discussions took place on 10 December 2020

Adoption of first Interim Opinion (Rolling Review 1) via 24 hour written

procedure on 14 December 2020

The application for the marketing authorisation was formally received

by the EMA on 30 November 2020

The procedure started on 1 December 2020

The following GMP inspection was requested by the CHMP and their 4 December 2020
outcome taken into consideration as part of the Quality/Safety/Efficacy
assessment of the product:

ModernaTX, Inc., One Moderna Way, Norwood, MA 02062 (USA).

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 BWP extraordinary adobe meeting was held on 30 December 2020

An Oral Explanation was held at BWP on 30 December 2020

The Rapporteur's first Assessment Report was circulated to all CHMP,

BWP, peer reviewer and ETF on 31 December 2020

The Co-Rapporteur's first Assessment Report was circulated to all CHMP

members on 31 December 2020

ETF discussions took place on 31 December 2020

BWP extraordinary meeting was held on

4 January 2021

The PRAC agreed on the PRAC Assessment Overview and Advice to

CHMP during an extraordinary PRAC meeting on 4 January 2021

The CHMP, in the light of the overall data submitted and the scientific
discussion within the Committee, issued a positive opinion for granting
a conditional marketing authorisation to COVID-19 Vaccine Moderna
during an extraordinary CHMP meeting on 6 January 2021

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2. Scientific discussion

2.1. Problem statement

2.1.1. Disease or condition

End of December 2019, WHO was informed about a cluster of cases of viral pneumonia of unknown
cause in Wuhan, China. In mid-January 2020 the pathogen causing this atypical pneumonia was
identified as a novel coronavirus, severe acute respiratory coronavirus 2 (SARS-CoV-2) and genome
sequence data were published. Since then the virus has spread globally and on 30 January 2020 the
World Health Organization (WHO) declared the outbreak a Public Health Emergency of International
Concern and on 11 March 2020 a pandemic. The pandemic is ongoing despite unprecedented efforts to
control the outbreak.

According to ECDC, histologic findings from the lungs include diffuse alveolar damage similar to lung
injury caused by other respiratory viruses, such as MERS-CoV and influenza virus. A distinctive
characteristic of SARS-CoV-2 infection is vascular damage, with severe endothelial injury, widespread
thrombosis, microangiopathy and angiogenesis.

2.1.2. Epidemiology and risk factors

As of 27 December 2020, there have been over 80 million confirmed cases of SARS-CoV-2 infection
globally with approximately 1.8 million deaths resulting from infection and subsequent coronavirus
disease (COVID-19). The majority of infections result in asymptomatic or mild disease with full
recovery.

Underlying health conditions such as hypertension, diabetes, cardiovascular disease, chronic

respiratory disease, chronic kidney disease, immune compromised status, cancer and obesity are
considered risk factors for developing severe COVID-19. Other risk factors include organ
transplantation and chromosomal abnormalities.

Increasing age is another risk factor for severe disease and death due to COVID-19. European
countries that have established surveillance systems in long-term care facilities (LTCF) have reported
that 5-6% of all current LTCF residents died of COVID-19, and that LTCF residents accounted for up to
72% of all COVID-19 related deaths.

Individuals with high risk of exposure to SARS-CoV-2 due to occupation include healthcare and
frontline workers.

2.1.3. Aetiology and pathogenesis

SARS-CoV-2 is a positive-sense single-stranded RNA (+ssRNA) virus, with a single linear RNA
segment. It is enveloped and the virions are 50–200 nanometres in diameter. Like other
coronaviruses, SARS-CoV-2 has four structural proteins, known as the S (spike), E (envelope), M
(membrane), and N (nucleocapsid) proteins.

The spike protein contains a polybasic cleavage site, a characteristic known to increase pathogenicity
and transmissibility in other viruses. The Spike is responsible for allowing the virus to attach to and
fuse with the membrane of a host cell. The S1 subunit catalyses attachment to the angiotensin
converting enzyme 2 (ACE-2) receptor present on cells of the respiratory tract, while the S2 subunit
facilitates fusion with the cell membrane. The spike protein is considered a relevant antigen for vaccine
development because it was shown that antibodies directed against it neutralise the virus and it elicits
an immune response that prevents infection in animals.

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It is believed that SARS-CoV-2 has zoonotic origins and it has close genetic similarity to bat
coronaviruses. Its gene sequence was published mid-January 2020 and the virus belongs to the beta-
coronaviruses.

Human-to-human transmission of SARS-CoV-2 was confirmed in January 2020. Transmission occurs

primarily via respiratory droplets from coughs and sneezes and through aerosols. After infection
individuals remain infectious for up to two weeks and can spread the virus even if they do not show
symptoms.

The median incubation period after infection to the development of symptoms is four to five days. Most
symptomatic individuals experience symptoms within two to seven days after exposure, and almost all
symptomatic individuals will experience one or more symptoms before day twelve. Common symptoms
include fever, cough, fatigue, breathing difficulties, and loss of smell and taste and symptoms may
change over time.

The major complication of severe COVID-19 is acute respiratory distress syndrome (ARDS) presenting
with dyspnoea and acute respiratory failure that requires mechanical ventilation. In addition to
respiratory sequelae, severe COVID-19 has been linked to cardiovascular sequelae, such as myocardial
injury, arrhythmias, cardiomyopathy and heart failure, acute kidney injury often requiring renal
replacement therapy, neurological complications such as encephalopathy, and acute ischemic stroke.

2.1.4. Clinical presentation and diagnosis

The severity of COVID-19 varies. The disease may take a mild course with few or no symptoms,
resembling other common upper respiratory diseases such as the common cold. Mild cases typically
recover within two weeks, while those with severe or critical diseases may take three to six weeks to
recover. Among those who have died, the time from symptom onset to death has ranged from two to
eight weeks. Prolonged prothrombin time and elevated C-reactive protein levels on admission to the
hospital are associated with severe course of COVID-19 and with a transfer to ICU.

The gold standard method of testing for presence of SARS-CoV-2 is the reverse transcription
polymerase chain reaction (RT-PCR), which detects the presence of viral RNA fragments. As this test
detects RNA but not infectious virus, its ability to determine duration of infectivity of patients is limited.
The test is typically done on respiratory samples obtained by a nasopharyngeal swab, a nasal swab or
sputum sample.

2.1.5. Management

The management of COVID-19 cases has developed during 2020, and includes supportive care, which
may include fluid therapy, oxygen support, and supporting other affected vital organs.

Treatment of hospitalised patients encompass anti-inflammatory agents such as dexamethasone and

statins, targeted immunomodulatory agents and anticoagulants as well as antiviral therapy, (e.g.
remdesivir), antibodies administered from convalescent plasma and hyperimmune immunoglobulins.
These therapies have shown variable and limited impact on the severity and duration of illness, with
different efficacies depending on the stage of illness and manifestations of disease.

While care for individuals with COVID-19 has improved with clinical experience, there remains an
urgent and unmet medical need for a vaccine able to prevent or mitigate COVID-19 infections during
the ongoing pandemic. Especially protection of vulnerable groups and mitigating the effects of the
pandemic on a population level are desired. Although a first vaccine for prevention of COVID-19 was
approved recently there is still an important need for additional vaccines to meet global demands.

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About the product

COVID-19 Vaccine Moderna (also referred to in this report as mRNA-1273) is a vaccine developed for
prevention of COVID-19 caused by SARS-CoV-2. It is based on nucleoside-modified mRNA encoding for
the full-length SARS-CoV-2 spike protein modified with 2 proline substitutions within the heptad repeat
1 domain (S-2P) to stabilise the spike protein into a prefusion conformation. The mRNA is encapsulated
in lipid nanoparticles (LNP).

The spike protein mediates attachment and entry of the virus into host cells (by binding to the
angiotensin-converting enzyme 2 receptor followed by membrane fusion), making it a primary target for
neutralizing antibodies that prevent infection.

Upon delivery and uptake by body cells the mRNA is translated in the cytosol and SARS-CoV-2 spike
protein is generated by the host cell machinery. The spike protein is presented and elicits an adaptive
humoral and cellular immune response. Neutralising antibodies are directed against it and hence it is
considered a relevant target antigen for vaccine development.

COVID-19 Vaccine Moderna is administered intramuscularly in two 100 µg doses given 28 days apart.
The intended indication is for ‘active immunisation to prevent COVID-19 caused by SARS-CoV-2 virus
in individuals 18 years of age and older’.

Type of Application and aspects on development

The applicant requested consideration of its application for a Conditional Marketing Authorisation in
accordance with Article 14-a of Regulation (EC) No 726/2004, based on the following criteria:

• The benefit-risk balance is positive.

According to the applicant, there is a positive benefit-risk balance for in the active immunisation to
prevent COVID-19 disease caused by SARS-CoV-2 virus, in individuals 18 years of age and older. This
is based on evidence from the pivotal study P301, a Phase 3, randomised, stratified, observer-blind,
placebo-controlled study to evaluate the efficacy, safety, and immunogenicity of COVID-19 Vaccine
Moderna in individuals 18 years of age and older. The applicant stated that the available data to date
from the first interim analysis indicate that its vaccine was 94.5 percent effective in preventing COVID-
19, 100 percent effective in preventing severe COVID-19 and had no serious side effects, showing that
the vaccine prevented mild and severe forms of COVID-19.

• It is likely that the applicant will be able to provide comprehensive data.

The applicant intends to continue the ongoing pivotal phase 3 study P301 with all participants to be
followed until 24 months after the second dose to obtain long-term data and to ensure sufficient
follow-up to support a standard marketing authorisation. Following the Emergency Use Authorisation
granted by the FDA on 18 December 2020, the sponsor will offer to all participants in the placebo arm
to receive the COVID-19 Vaccine Moderna. In all cases, it is intended to follow participants up to the
original planned 24 months post-vaccination, regardless of any participants opting to crossover from
placebo to active vaccination. The safety and effectiveness of COVID-19 Vaccine Moderna in patients
<18 years of age have not been established for this application. 3 studies in paediatric subjects are
planned as laid down in the paediatric investigation plan. An observational pregnancy outcome study is
also planned in the EU. A Post-Approval Active Surveillance Safety Study to Monitor Real-World Safety
of COVID-19 Vaccine Moderna will be conducted in the EU to provide additional evaluation of AESI and
emerging validated safety signals in European populations. The applicant will also conduct an
interventional study to evaluate safety and immunogenicity in immunocompromised subjects, and
conduct non-interventional studies to provide additional evaluation of AESI and emerging validated

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safety signals, and to evaluate the real-world effectiveness and long-term effectiveness of mRNA-1273
in preventing COVID-19 and severe COVID-19 disease.

• Unmet medical needs will be addressed.

According to the applicant, as there is no approved other vaccine in the EU or successful COVID-19
therapy available in the EU, an unmet medical need is existing and is likely to be addressed by this
vaccine in view of the high level of protection observed in the pivotal clinical trial.

• The benefits to public health of the immediate availability outweigh the risks inherent in the fact
that additional data are still required.

According to the applicant, the efficacy of COVID-19 Vaccine Moderna to prevent COVID-19 was
demonstrated in the first interim analysis. The observed vaccine efficacy in each subgroup as defined
by age, baseline characteristics, risk for severe COVID-19 was overall consistent with the effectiveness
of COVID-19 Vaccine Moderna to protect vaccinees against the disease.

2.2. Quality aspects

2.2.1. Introduction

The finished product (also referred to in this report as mRNA-1273) is presented as a dispersion for
injection containing 100 µg/0.5 mL dose of single-stranded, 5’ capped mRNA encoding full length
SARS-CoV-2 Spike (S) protein as the active substance (referred to by the applicant as CX-024414),
which is embedded in lipid nanoparticles (LNPs).

Other ingredients are: Heptadecan-9-yl 8-((2-hydroxyethyl) (6-oxo-6-(undecyloxy) hexyl) amino)

octanoate (SM-102), cholesterol, 1,2-distearoyl-sn-glycero-3-phosphocholine (DSPC), 1,2-dimyristoyl-
rac-glycero-3-methoxypolyethylene glycol-2000 (PEG2000 DMG), tromethamol hydrochloride, acetic
acid, sodium acetate trihydrate, sucrose and water for injections. The product is available in a glass
vial (type I or equivalent) sealed with a chlorobutyl rubber stopper and an aluminium seal (each vial
contains sufficient volume to extract 10 doses of 0.5 mL each). Vials are packaged in a carton
containing a total of ten multi-dose vials per carton.

The dossier is based on data from US manufacturing sites (mainly ModernaTX, Inc. Norwood and Lonza
Biologics, Portsmouth) with appropriate comparability, transfer and validation data for EU
manufacturing operations.

The CTD Module 3 dossier structure is not fully in line with EU requirements as the information on the
lipid excipients and manufacture of the LNP is being placed in 3.2.S rather than 3.2.P. During the
procedure, the BWP/CHMP confirmed that the mRNA (referred to by the applicant as CX-024414)
should be considered as the active substance, which was accepted by the applicant. The company
should undertake suitable amendment of the Module 3 CTD in line with the definition of the active
substance and finished product agreed and to support filings of lifecycle activities in line with EU
requirements. A corresponding recommendation has been included to this effect (REC 1.1.)

2.2.2. Active Substance

General Information

The active substance (referred to by the applicant as CX-024414) is the mRNA encoding the pre-fusion
stabilizedstabilised Spike (S) protein of 2019-novel Coronavirus (SARS-CoV-2). The S protein is
composed of two subunits (S1 and S2) and is stabilised in the so-called pre-fusion conformation by two

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amino acid mutations, K986P and V987P. The mRNA sequence includes a 5’ cap, the 5’ untranslated
region (UTR), the Open Reading Frame (ORF), the 3’ UTR, and the 3’ polyA tail. The applicant provided
sufficient information concerning the mRNA elements (including regulatory elements within the UTRs)
and the proposed mechanism of action. The RNA contains modified N1-methylpseudouridine instead of
uridine to minimise the indiscriminate recognition of the mRNA by pathogen-associated molecular
pattern receptors (e.g. TLRs). Figure 1 illustrates the general structure of the antigen-encoding RNA.

Figure 1 General structure of the RNA

Manufacture, process controls and characterisation

Manufacturers

The active substance is manufactured and controlled by Lonza, Visp, Switzerland, with appropriate
GMP certification.

Moderna, Norwood, USA is listed with appropriate GMP certification for QC testing until method transfer
is completed to Lonza, Visp.

At the time of authorisation, the transfer of 3 methods for the active substance from Moderna,
Norwood to Lonza Visp are ongoing to conclude by end of January 2021. The Supervisory Authority,
AEMPS confirmed that the GMP certificate issued to Moderna, Norwood, USA for QC testing of the
finished product can cover also testing of the active substance for the interim period. A satisfactory
protocol for transfer of analytical methods for the active substance has been provided.

Associates of Cape Cod, East Falmouth, MA USA, will be providing endotoxin testing until transfer is
complete to Lonza, Visp by end of January 2021.

A major objection was raised regarding US sites proposed for manufacturing of the active substance,
these manufacturing sites were subsequently withdrawn from the dossier.

Description of manufacturing process, characterisation and process controls

A description of the manufacturing process and process controls for the Lonza, Visp manufacturing site
is provided.

The manufacturing process for CX-024414 mRNA involves several major steps. The uncapped mRNA is
transcribed from linear DNA utilising an in vitro transcription (IVT) reaction followed by purification and
filtration steps. Next, mRNA is enzymatically capped followed by additional purification and filtration
steps. Finally, CX-214414 mRNA is filtered, dispensed and stored.

The manufacturing process of CX-024414 mRNA is described in sufficient detail. The individual process
steps are appropriately controlled with appropriate process parameters; however, the information
should be completed with submission of the acceptance limits for all process parameters and evidence
to support the proposed hold times (REC). Furthermore, a clarification is requested regarding the

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process control strategy (specified manufacturing process development information), including
information on failure mode and effects analysis (FMEA) analysis, process characterisation studies and
criticality assignment.

Control of materials

The applicant comprehensively describes the manufacture of the master cell bank (MCB) and working
cell bank (WCB) of the plasmid as well as the release testing and the qualification protocol of new
MCB/WCB. An adequate cell bank stability program has been outlined.

The linearised plasmid DNA is considered as the starting material. The manufacture is described in
sufficient detail, covering: Origin of the DNA sequence, plasmid map, generation of the host cell line,
transformation and purification of the host cell line, plasmid cell banking system and stability testing
and the linearised plasmid DNA is in principle thoroughly tested. Specifications are in general
appropriate for authorizationauthorisation, however, will be reviewed after a sufficient number of
batches has been produced (REC). The omission of an in-process control test for plasmid retention and
plasmid copy number is sufficiently justified. Percent covalently closed circular DNA (%cccDNA) is
routinely monitored post-polishing chromatography. However, evidence regarding
qualification/validation of methods used for release testing should be provided (REC). Furthermore,
sources for all appropriate reference materials/assay controls for plasmid and linearised DNA plasmid
manufacturing are requested (REC). The formal shelf life for the linearised plasmid DNA and stability
testing is appropriate. So far, no trending or degradation has been observed. There are no materials of
animal origin used in the manufacture of CX-024414 mRNA.

The nucleotide starting material specifications will be finalised with suitably tight limits for purity (and
impurities and other parameters if relevant) that ensure consistent active substance quality (REC).

The applicant provided a conclusive description of all raw materials used. Certificates of Analysis
(CoAs) were provided within the submission package and comply with pharmacopoeial requirements
where appropriate. All enzymes utilised are produced in E. coli. Further information on the medium
used for MCB and WCB manufacture is requested (REC). There is also a reasonable risk mitigation
strategy for extractables and leachables applied to for all materials with liquid product contact used in
CX-024414 process.

All materials conform with Certificates of Analysis (CoAs) or Certificates of Compliance, which includes
verification of bovine spongiform encephalopathy/transmissible spongiform encephalopathy (BSE/TSE)
certificates, as required.

The control of the critical steps of the CX-024414 manufacturing process is generally acceptable.
Additional details are requested regarding the method used for quantification of residual protein
(critical in-process control; REC).

In order to complete the characterisation of the active substance and finished product manufacturing
process, the MAH should provide additional data. Further information is required as regards the overall
control strategy. Hence, tabulated summaries of FMEA performed including the conclusions drawn and
appropriate justifications for criticality assignment and priority assigned to characterisation studies are
requested (Specific obligation 1). In addition, tabulated summaries of the actual settings of the
investigated parameters, analytical results and the prediction profiles should be provided for all process
characterisation studies (Specific Obligation 1).

Validation data of the process A at ModernaTX, Inc. in Norwood and the process B initial at Lonza
Biologics are provided and considered acceptable. However, the validation data from the initial process
B scale at Lonza Visp needs to be provided as soon as available in order to confirm the consistency of
the manufacturing process (Specific obligation 2). The applicant has provided in the initial dossier

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plans for an upscaled process, which has not been supported by validation data. If the applicant wishes
to include this upscaled process (Final scale B) to the marketing authorisation a variation application
should be submitted. This should include appropriate validation data for the new scale (Final scale B).
The proposed lifetimes for the chromatography resins and the TFF membranes are properly justified
with data from small-scale models.

The manufacturing process of CX-024414 mRNA started with a small-scale process. The process was
then up-scaled to Scale A, to Initial Scale B and then to Final Scale B (to be added via variation
application). Scale A batches were used in the Phase III clinical trial. The major change was from the
small-scale process to the Scale A process, including the addition of two process steps for the Scale A
process. No changes were made to the unit operations or sequence of unit operations from Scale A to
initial Scale B processes. Initial comparability of the mRNA produced with the different process scales is
considered established based on release as well as additional characterisation data. However, the
applicant is asked to provide the full comparability data for the initial scale B at Lonza Visp as soon as
data is available.

In order to confirm the consistency of the active substance process (Initial scale), the applicant should
provide additional comparability and validation data post-marketing in the context of a specific
obligation (Specific Obligation 2).

Characterisation

The applicant provided a detailed characterisation of the mRNA active substance including detailed
information on the structural properties of the mRNA CX-024414. Additionally, data on the
chromatographic profile, the thermal denaturation as well as freeze thaw degradation and their
influence on protein expression have been provided.

Concerning product and process related impurities a thorough characterisation of the mRNA CX-
024414 is provided.

Regarding product-related impurities, the applicant described short mRNA species that can occur
because of abortive transcription or premature termination of transcription. As the majority of these
short mRNAs do not contain a PolyA tail, the manufacturing process includes chromatography steps,
which aim at removing these impurities to a large extent. Other short fragments are controlled by in
process testing of mRNA purity. No induction of immune stimulation by uncapped mRNA can be seen
and potentially stimulatory dsRNA is consistently low throughout the process scale-ups.

Additional bands are observed by an in-vitro translation assay. To further elucidate the nature of these
additional bands, data should be provided. Furthermore, additional details should be provided for the in
vitro translation method and the negative and positive controls used, since the number and intensity of
unspecific bands observed still leaves some uncertainty regarding the possible translation of additional
proteins/peptides. In this context additional characterisation data or a scientific justification are
requested (REC).

Specification

The active substance specifications contain tests for: Appearance (visual), Identity RT- Sanger
Sequencing), Total RNA content (UV), Purity (RP-HPLC), Product-related impurities (RP-HPLC), % 5’
Capped (RP-UPLC), % PolyA tailed RNA (RP-HPLC), Residual DNA template (qPCR), pH
(pharmacopoeial), Bacterial endotoxin (pharmacopoeial), Bioburden (pharmacopoeial).

The specifications provided by the applicant are considered acceptable. The lack of a specification for
polyA tail length and dsRNA is in principle supported by the characterisation and the process

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development data provided. However, it is emphasised that the control strategy should ensure that
dsRNA levels will always be at a sufficiently low level when the manufacturing process is run within the
registered process parameter ranges, considering its potentially immune-stimulatory properties.
Alternatively, an appropriate release specification for dsRNA should be registered (REC). However, it is
emphasised that these quality attributes will be tested in case of process changes or in process
validation/ process performance qualification (PPQ) analysis as additional characterisation assays to
support process consistency.

Analytical methods

All analytical methods used for testing of the active substance are described in the dossier. The
analytical methods are described in sufficient detail and SOP numbers are provided for US and EU
testing sites. However, the applicant states “Equivalent instruments and reagents may be substituted
where indicated” in most method descriptions. The applicant will however follow the EU variation
guideline that indicates which critical reagents can only be changed via a variation procedure.
Additionally, the applicant committed to reference Ph. Eur. instead of USP whenever possible.

The methods are properly validated for the US testing sites with the exception of the robustness of the
methods. The applicant is asked to commit to submit robustness validation data of all the methods
concerned (REC). The transfer, verification and validation of analytical methods to perform testing for
CX-024414 at Lonza AG are currently on-going. An analytical Transfer Master Protocol, which describes
the transfer of test methods to Lonza AG, has been provided in the dossier. These method validation
data from the EU testing site should be provided as soon as possible (Specific obligation 2).

The analytical transfer master protocol is provided and considered acceptable. Furthermore,
information as regards the planned implementation of the Sanger Sequencing performed at Microsynth
and GROUP-109205 solo VPE for in-process monitoring of mRNA concentration is requested (REC).

The provided batch data are acceptable. The data from the one batch provided from the EU
manufacturing site meets all specifications. Additional data supporting the Lonza Visp manufacturing
process should be provided as soon as available. The specifications are considered acceptable for
authorisation but need to be revised when more manufacturing experience has been gained.

In order to ensure consistent product quality, the MAH should review the active substance
specifications following further manufacturing experience. (Specific obligation 3).

The data provided relate to lots used for clinical development and manufactured at ModernaTX, Inc.
Norwood and Lonza Biologics, Portsmouth. Scales A and initial scale B were used for clinical studies
and the data showed good consistency and comparability of scales.

The description of the reference standard is considered acceptable and also details how future
reference material will be qualified are included. The reference standard for the commercial production
is derived from a PPQ lot from the Scale A process. It was thoroughly tested and characterised and will
be followed up by a stability monitoring protocol. However, the respective qualification report is
requested (REC). Implementation of a secondary reference standard (and two-tiered system) is
planned as detailed in the dossier.

For the EU manufacturing site, the active substance will be stored in 20 l Mobius bags. In line with
CPMP/QWP/4359/03, Mobius storage bags should be tested for extractables/leachables, a respective
commitment has been provided (REC). Furthermore, suitability of the Mobius bags should be justified
as to date no stability data with samples stored in representative storage container are available
(please refer to section on stability). (Specific Obligation 3)

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Stability

A shelf life of the active substance when stored at the intended storage condition of -20°C ± 5°C in
Mobius bags was proposed by the applicant.

In relation to mRNA purity and stability, data on the degradation rate was provided and shown to
demonstrate Arrhenius behaviour, with first order kinetics. The stability profiles were demonstrated to
be predictable and amenable to modelling, enabling a good understanding of the chemical degradation
process.

For the active substance, the stability data presented consist of data for 2 clinical lots, 3 GMP lots and
one development batch. The data for GMP lots at Moderna were manufactured at the Process A scale
and used appropriately validated, stability indicating assays.

The initial shelf life claim at -20°C ± 5°C is not considered acceptable based on the provided data.
Furthermore, the representativeness of the container closure system used is not yet sufficiently
justified, since the storage container for stability samples differs from the commercial container closure
system. Hence, stability data from batches produced at Lonza Visp should be provided as soon as
available (Specific Obligation 3).

In conclusion, based on the limited stability data presented, a reduced shelf-life at -20°C ± 5°C
compared to the shelf life initially proposed can be approved for the active substance, when stored in
Mobius bags.

Comparability exercise for Active Substance

Not applicable.

2.2.3. Finished Medicinal Product

Description of the product and Pharmaceutical Development

The finished product is presented as a white to off-white, multi-dose ready-to-use dispersion for
intramuscular injection. It contains an mRNA active substance (referred to by the applicant as CX-
024414) that encodes for the pre-fusion stabilised spike glycoprotein of 2019-novel Coronavirus
(SARS-CoV-2) encapsulated into lipid nanoparticles (LNP) dispersed in a diluent buffer at pH 7.5. The
LNP are composed of four lipids which act as protectants and carriers of the mRNA. These are:
heptadecan-9-yl 8-((2-hydroxyethyl)(6-oxo-6-(undecyloxy)hexyl)amino)octanoate (SM-102, a custom-
manufactured, ionisable lipid), 1,2-dimyristoyl-rac-glycero-3-methoxypolyethylene glycol-2000
(PEG2000-DMG), 1,2-distearoyl-sn-glycero-3-phosphocholine (DSPC) and cholesterol.

The finished product is supplied in a multi-dose 10R clear Type 1 borosilicate glass vial or Type 1-
equivalent alkali aluminosilicate glass with a chlorobutyl rubber stopper and an aluminium seal. The
vial, stopper and seal components comply with the appropriate Ph. Eur. monographs for primary
containers and closures.

There is no manufacturing overage. Each vial contains 6.3 mL fill volume, which corresponds to 10
doses of 0.5 mL (containing 100 micrograms mRNA). There is a 1.3 mL vial overfill. During the
evaluation the applicant has been requested to justify this and confirm whether it would be feasible to
retrieve 11 doses. The applicant responded that the fill volume was defined using components
commonly used in preparation / administration of intramuscular injections (allowing for the dead
volume from BD disposable syringes 1-mL with luer lock, 20G 1.5” needles), consideration of hold-up

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volume in 10R vials, the fill tolerance observed at fill finish sites and the validated extraction of 10
doses from each vial.

The composition of the finished product, including amounts per vial, function and quality standard
applicable to each component, was presented.

SM-102, a novel, ionisable lipid excipient, is positively charged to drive lipid to electrostatically interact
with the mRNA, when combined. Cholesterol is incorporated to provide structure and physicochemical
stability to the particles. The zwitterionic “helper” lipid, DSPC, is incorporated to increase the fusogenic
properties of the particles. The polyethylene glycol-lipid conjugate novel excipient, PEG2000-DMG,
confers steric stabilisation to the nanoparticles.

Sucrose is added to promote product stability through freeze/thaw and long-term storage.

All excipients except the lipid excipients SM-102, DSPC and PEG2000-DMG, tromethamol hydrochloride
and sodium acetate trihydrate comply to Ph. Eur. grade. Concerning the use of non-Ph. Eur. grade
cholesterol also cited by the company applicant a request to only used Ph. Eur. cholesterol has been
requested (REC)).

Three specifications for tromethamol hydrochloride used for the neutralising buffer are included. The
applicant committed to provide a single consensus specification (REC).

Two different specifications have been included for the novel excipient SM-102 depending on the
manufacturing site, e.g. different tests on appearance and different acceptance criteria for the test on
related substances of SM-102. The applicant committed to present one aligned specification including a
test on related substances with numerical limits (REC).

For the non-compendial excipient 1,2-distearoyl-sn-glycero-3-phosphatidylcholine (DSPC) reference is

made to a United States CDER Master File. However, master files for excipients are not acceptable in
the EU. The applicant committed to provide further data sufficiently describing the quality of DSPC
(REC).

For the compendial excipient cholesterol the acceptance criterion for bacterial endotoxins included in
the specification is 10 times higher (1 EU/mg) than in the Ph. Eur. monograph Cholesterol for
parenteral use. The specification will be corrected to 0.1 EU/mg.

Novel excipients

As indicated above, the finished product contains two novel excipients, namely SM-102 and PEG2000-
DMG.

SM-102

General Information

The chemical name of SM-102 is Heptadecan-9-yl 8-((2-hydroxyethyl) (6-oxo-6-(undecyloxy) hexyl)

amino)octanoate.

Figure 2: Structure of SM-102

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Molecular Formula: C44H87NO 5, Molecular Mass: 709.7 g/mol, Molecular Weight: 710.2 g/mol.

SM-102 is very soluble in several organic solvents and practically insoluble in water.

Manufacture

The GMP manufacturing process of the novel excipient SM-102 covers synthesis and workup of Crude
SM-102, reduction of Crude SM-102, and the purification. For the manufacturing process flow charts
and narrative descriptions were provided including in-process controls.

The in-process control targets refer to “Report results”. The applicant committed to include numerical
values (REC).

Information on the manufacturers, synthesis and specifications for both starting materials of SM-102 is
presented in the dossier. The specifications for partly contain “Report results” as acceptance criteria.
The applicant committed to include numerical values (REC).

Manufacturing process development of the novel excipient SM-102 contains the development history
including process optimisations. Differences between SM-102 manufacturers are also discussed. It can
be concluded that all sites produce comparable quality of SM-102. Nevertheless, CQAs, CPPs and
critical attributes of the materials used for the manufacture of SM-102 are missing. The applicant will
provide those post-marketing (REC).

Characterisation

The structure of the novel excipient SM-102 has been adequately characterised by means of IR-, 1H-
NMR and 13
C-NMR and mass spectrometry as well as elemental analysis.

The information provided on potential impurities in SM-102 comprise product related substances and
process related impurities (elemental impurities, residuals solvents, peroxides, water content and
inorganic impurities). The applicant will provide an evaluation of mutagenic impurities based on ICH M7
(REC).

Control of SM-102

The specification for the excipient SM-102 comprises in principle all necessary tests to control its
quality.

However, the specification for the test on related substances should be revised to include specified
identified impurities with suitable limits. The applicant will revise the specification accordingly (REC).

The assay limits in the specification of SM-102 are rather wide. A commitment has been provided to
tighten the limits as more experience is gained (REC).

A test on benzene, which might be present in e.g. toluene or acetone should be performed on the final
excipient or on a suitable intermediate if not otherwise justified. The applicant committed to present a
risk assessment for the presence of benzene in SM-102 (REC).

The in-house test procedures for SM-102 and the respective validations are not sufficiently described.
The applicant will provide detailed procedure descriptions and validation reports (REC).

Batch analysis data have been provided for 18 batches. The results are consistent across batches. The
applicant will clarify which batches were included in toxicological and clinical studies (REC).

Reference Standards or Materials

The SM-102 reference standard is used for identification and assay. Information on the primary
standard is provided.

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Container Closure System

The applicant committed to revise this section to only include one container closure system instead of
the currently used two depending on the manufacturing site. The SM-102 primary packaging
information will be amended. All components are fully compliant with current international food contact
regulations such as (EU) No 10/2011. The applicant will provide specifications for the foil pouches in
which the glass containers are packaged and sealed (functional secondary packaging for SM-102)
(REC).

Stability

The stability programme for the excipient SM-102 currently covers 8 batches. Data are available for 36
months (2 batches) and 24 months (1 batch) at long-term conditions of -20°C ± 5°C and for 12
months (1 batch), 24 months (1 batch) and 36 months (1 batch) at 5°C ± 3°C. At 25°C /60% no
stability data are currently available.

Further data are available for 9 months (1 batch) and 6 months (1 batch) at long-term conditions of -
20°C ± 5°C and for 9 months (1 batch), and 6 months (1 batch) at 5°C ± 3°C. At 25°C /60% no
stability data are currently available.

The provided data support the proposed re-test periods. The applicant will provide a post-approval
stability protocol, which is currently missing. The applicant will provide results from forced degradation
studies (REC).

A.3.2 PEG2000-DMG

General Information

1,2-Dimyristoyl-rac-glycero-3-methylpolyoxyethylene (PEG2000-DMG) is a novel excipient.

The structure is shown in Figure 6.

Figure 3: Structure of PEG2000-DMG

PEG2000-DMG is a white to off white powder soluble in water and most of organic solvents.

Manufacture

The manufacturing process consists of the following steps: reaction of the starting materials,
concentration, purification vacuum drying, and packaging.

The manufacturing process description is not very detailed, however, considered acceptable. Details on
the lyophilisation step of the manufacturing process are missing and will be provided post-approval
(REC).

Justifications for the selection of the starting materials will be provided post-approval. Specifications
have been provided. Information on the additional supplier(s) of one of the starting materials will be
provided post-approval. A description of the analytical methods to control the starting materials will be
provided post-approval (REC). Information on the suppliers of all raw materials is provided and
specifications have been provided.

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Appropriate CPPs have been defined.

In-process testing has been described, however, information on analytical methods used for in-process
testing is missing and will be provided post-approval (REC).

Information provided on manufacturing development history, CQA risk assessment and control
strategy has been provided needs however to be adapted (REC).

Characterisation

The spectroscopic studies performed to investigate the molecular structure DMG-PEG2000 are:
Infrared Absorption Spectroscopy, 1H-NMR Spectroscopy, 13C-NMR Spectroscopy and Mass
Spectroscopy. Exemplary spectra including an interpretation of the results have been provided.

The polydispersity was analysed by GPC Information on the impurity profile has been provided. That
information is not sufficient since reporting of impurities in the batch analysis data is not consistent
with the current characterisation data (see below). Potential presence of mutagenic impurities in
PEG2000-DMG should be evaluated and the results will be provided post-approval (REC).

Control of PEG2000-DMG

The following attributes have been included in the specification of the novel excipient PEG2000-DMG:
appearance, identification by NMR, average molecular weight by TOF-MS, purity by RP-HPLC, moisture
by Karl Fischer, residual solvents by GC, bacterial endotoxins, bioburden, residual heavy metals. The
specification is currently not acceptable. Polydispersity should be included in the specification for
PEG2000-DMG post-approval. Numerical limits for specified and unspecified impurities will be included
in the PEG2000-DMG specification post-approval. The current reporting of impurities is not acceptable.
Characterisation data for impurities which are reported under ‘content of unknown’ should be provided
post-approval (REC).

Analytical methods have been adequately described. However, in the description of the HPLC purity
method information on the reporting threshold is missing and should be provided post-approval.
Validation data for the analytical methods to control DMG-PEG2000 are missing and should be provided
post-approval (REC).

Batch analysis data for five batches have been provided. All results comply with the specifications.
More detailed information on these batches will be provided post-approval (REC).

Reference Standards or Materials

Sufficient information has been provided for reference standards or materials.

Container Closure System

The container closure system has been described. Information and specifications on the material used
for the storage of PEG2000-DMG is missing and will be provided post-approval (REC).

Stability

Stability data for three batches stored at long-term and accelerated conditions have been provided. No
negative trends but a certain variability in the results for purity have been observed in the stability
studies. From the information provided with the specification it is concluded that the shelf-life (re-test
period) is acceptable.

Pharmaceutical development

The applicant has sufficiently described the formulation development, mainly referring to similar
platforms and scientific publications. This includes the choice of the four lipids, the molar ratio of the

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single lipids and the manner in which the mRNA is encapsulated leading to a mRNA-loaded LNP
intermediate which is further processed to produce the finished product.

As indicated above, the finished product comprises four lipids: SM-102, DSPC, cholesterol, and PEG-
lipid. SM-102 is a proprietary ionisable lipid that was selected by the applicant out of a panel of lipids
because of its vaccine potency and tolerability and biodegradability. The applicant has optimised lipid
ratios for his purpose.

There are only minor differences between the early clinical formulations used in phase I and II studies
and the formulation of the phase III finished product batches. In Phase I and II studies, a target
concentration of 0.5 mg/mL mRNA was prepared and a range of doses tested. After selection of the
final dose, a target concentration of 0.20 mg/mL mRNA was developed for Phase III and commercial
batches as a ready-to-use solution. Slight variations in the sodium acetate content and the distribution
of tromethamol in the Dilution Buffer (tromethamol base and tromethamol HCl) were caused by the
dilution step of the Phase I and II batches. In addition, the lipid concentrations were slightly modified
during manufacture for Phase III.

The suitability of the formulation composition has been studied in a number of developmental stability
studies at the intended long-term storage conditions as well as shorter term accelerated studies to
enable manufacturing of the finished product. The data available to date demonstrate that there is no
change in mRNA purity and LNP biophysical qualities when stored at -70°C. In contrast, mRNA
chemical degradation is observed at -20°C, 5°C, and 25°C in a temperature-dependent manner. The
proposed storage of finished product at -20°C is nevertheless acceptable, since only slight degradation
is observed at -20°C as shown by preliminary stability data.

Since the finished product is presented in multi-dose vials, the applicant has analysed the effect of
several preservatives on the biophysical parameters RNA encapsulation, polydispersity and particle
size. Results showed an increase of particle size and polydispersity index and a decrease in % RNA
encapsulation in the presence of these preservatives. The effects were enhanced after freezing. These
results justify the development of the vaccine without preservatives, since a microbiological challenge
hold time study demonstrated no microbial growth for at least 12 hours at room temperature after
inoculation of low levels of selected microorganisms.

Physicochemical properties (density, viscosity, surface tension, osmolality, glass transition

temperature) of mRNA-loaded LNP intermediate and the finished product solutions have been shown at
different temperatures.

Manufacturing process development

The manufacturing process development includes processes of different scales at different

manufacturing sites, which have been sufficiently described.

As indicated above, the manufacturing process for the finished product comprises several stages.

The manufacturing process development of each of these has been provided. Changes to the
specification and of the analytical procedures between the different processes have been presented.

The LNP are comprised of four lipid components (cholesterol, SM-102, DSPC and PEG2000-DMG).

mRNA-loaded LNP intermediate

The product consists of an mRNA-lipid complex dispersion that contains the mRNA (CX-024414) that
encodes for the pre-fusion stabilised Spike protein of 2019-novel Coronavirus (SARS-CoV-2).

Comprehensive development data have been provided. Changes made during development have been
described. They included scale-up, addition of a bulk freezing step, change of some equipment and

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revision of the lipid molar ratios to allow for harmonisation with the platform process. The overall lipid
content remained unchanged.

The Initial Scale B process has been transferred to the site registered for EU manufacture Lonza, Visp.
Changes were made to materials for regional availability, operations and equipment to maintain
aseptic processing aligned with facility fit, and equipment availability.

In accordance with ICH Q9, a FMEA was performed with respect to the manufacturing process. A
science-based approach was used to identify Critical Quality Attributes (CQAs), CPPs and CIPCs to
inform process design studies, and to establish the manufacturing control strategy. Characterisation
data supporting the PARs for the CPPs and non-critical process parameters are included. The small-
scale model used for the characterisation studies is described and evaluated demonstrating that the
small-scale model is representative for the scaled process.

The PARs defined in the development section are in general appropriately transferred to the
commercial manufacturing process description. Some clarifications and amendments are needed for
the manufacturing process description (REC). Some clarifications and amendments were needed for
the manufacturing process description. Respective information and/or commitments have been
provided.

The proposed CQAs of the LNP are appearance, mRNA identity, total RNA content, purity and product-
related impurities, % RNA encapsulation, particle size, lipids identification, lipids content, lipids purity,
pH, osmolality, bacterial endotoxins and bioburden. The CPPs for the mRNA-1273 LNP manufacturing
process have been described. No CIPCs were identified for the mRNA-1273 LNP manufacturing process.

A risk assessment concerning potential extractables and leachables from manufacturing components
and container closure systems has been performed according to the applicant. However, no details are
available on possible extractables. The applicant will provide respective data (REC).

Comparability

Analytical comparability data were generated with one Phase 3 clinical lot and three PPQ lots
manufactured by the development site, ModernaTX in Norwood, US (not being registered for
manufacture of product for the European market) at development scale. Additional data have been
generated with commercial scale batches. Samples were analysed in a side-by-side format whenever
possible.

The following attributes have been investigated in the analytical comparability studies: LNP size
distribution, LNP size distribution, sub-visible particles (SVP) counts and morphology, LNP surface
characterisation, LNP charge, LNP charge distribution, LNP structure, LNP density, LNP surface
characterisation and protein expression by in vitro protein expression.

Extended characterisation data have also been provided for the first GMP batch manufactured at Lonza
AG, CH. With results to date it is demonstrated that the pre-change and post-change manufacturing
processes and quality attributes were comparable.

Differences to batches manufactured by Moderna, TX observed in the extended characterisation

exercise and release testing of the first GMP batch manufactured at Lonza AG, CH for several attributes
related to particle size and particle size distribution will be further be evaluated (REC).

The applicant committed to provide comparability results including extended characterisation data
using the full panel of characterisation methods from all PPQ batches manufactured by Lonza AG, CH
demonstrating that the commercial product manufactured at the Lonza, Visp site is representative of
the material used in the clinical trials. (Specific Obligation 2).

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Forced degradation will be evaluated in the next comparability phase. Results from forced degradation
studies should be submitted when available (REC).

Finished product

Comprehensive development data on the finished product have been provided. Changes made during
development have been described. Changes were related to scale up required for commercial supply.

The proposed CQAs for the finished product are: appearance, mRNA identity, total RNA content, purity
and product-related impurities, % RNA encapsulation, in vitro translation, lipid identity, lipid content,
lipid impurities, mean particle size and polydispersity, pH, osmolality, particulate matter, container
content, bacterial endotoxin, and sterility.

CQAs, CPPs, and CIPCs have been defined based on risk assessments, process characterisation
studies, and knowledge gained from manufacturing experience and an appropriate control strategy has
been established, in accordance with ICH Q9. The applicant committed to provide the underlying
process risk assessment (Specific obligation 1). The approach to define a cumulative time out of
refrigeration (room temperature) and at 2°C - 8°C is acceptable; however, it should be noted that
increasing process time negatively impacts RNA purity.

Characterisation studies have been performed in order to demonstrate that the quality attributes of the
final product are highly similar across processes.

Comparability

Analytical comparability data were generated with four Phase 1/Phase 2 and six Phase III pilot scale A
batches from Moderna, TX; three pilot scale A PPQ batches from Catalent intended for
clinical/emergency use authorisation/commercial use outside EU, and one scale B batch from Rovi,
Spain (EU finished product manufacturer intended for commercial use). A similar approach to
comparability was used across manufacturing processes. Comparability between the processes has
been shown by a) comparison of the processes and description of the changes, b) extended
characterisation (physico-chemical properties, particle size, and impurities) of Phase 1/2 and Phase 3
clinical lots and PPQ lots up to Scale A and c) batch release results. Further Scale A to Scale B
comparability will be based on description and justification of process changes including sites, scales,
raw materials, process equipment and evaluation of process performance with respect to CPPs and
IPCs as well as statistical evaluation of comparability of release testing results. Extended analytical
characterisation testing is not performed at the level of the finished product as part of comparability
studies as finished product characteristics are the same as for mRNA-loaded LNP intermediate.
Nonetheless, results are available for one commercial scale B lot manufactured at the finished product
manufacturing site for the EU market (Rovi, Spain) therefore, although there is sufficient comparability
information to justify approval in this pandemic, no final conclusion can be drawn with regard to Scale
A to Scale B comparability. The final validation report including an assessment of comparability is
requested (Specific obligation 2).

Container closure system

A standard container closure system has been chosen that is suitable for the intended purpose. It is
composed of glass vials and rubber stoppers. Both components are compliant with Ph. Eur.
requirements. The sterilisation cycles used for sterilisation of vials and stoppers are not described and
has been requested (REC). For the container closure components, vendor-generated extractables data
were used for an initial quantitative toxicological assessment. The assigned safety concern threshold
for some stopper oligomers is exceeded in the estimated amount per dose. However, a product-specific
leachable study indicated no reportable organic compounds over the analytical evaluation threshold.

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Compatibility

Compatibility testing that establishes the clinical in-use period for the finished product under
refrigerated and ambient conditions was performed (see stability section). Materials of contact planned
for clinical dosing (e.g., needles, syringes, vials) were used to determine material compatibility and
clinical in-use stability. Hold times in the syringe of 0 and 8 hours were assessed under ambient
conditions (room temperature) and 5°C with clinical material from early phase trials containing 0.1
mg/mL or 0.5 mg/mL mRNA concentration. Results showed no notable change to attributes of the
finished product. Stability was demonstrated for clinical in-use for up to 8 hours at either ambient
temperature or at 5°C.

Additional in-use studies were performed for the commercial dosage strength of 0.20 mg/mL. The
product solution was held in the vial at room temperature for either 1 hour or 7 hours after thaw.
Dosing syringes were prepared from the vial after 1 hour and then again after 7 hours upon completion
of a 1-hour thaw at room temperature. The syringes were then held for 0, 4, 8, and 12 hours at room
temperature and refrigerated conditions. Clinical in-use stability was demonstrated for dosage
strengths of 0.20 mg/mL for 6 hours after first puncture in the vial followed by 8 hours in the syringe
at either ambient temperature or at storage between 2°C to 8°C (see stability section).

Microbiological attributes

The finished product is manufactured by a conventional aseptic process using sterilising filtration.
Prefiltration bioburden is monitored as part of the manufacturing process. The microbiological quality
attributes are monitored by testing for sterility and endotoxins at release. Sterility is also monitored
annually as part of the stability testing program. The microbiological suitability of the selected primary
container closure system has been demonstrated through container closure integrity (CCI) testing
studies. Results from container closure integrity testing demonstrate that the chosen container is
suitable for storage and provides adequate protection.

The finished product does not include a preservative. As discussed above the lipid nanoparticle-based
product is not compatible with common preservatives.

A microbial challenge hold time study, also known as growth promotion study was performed with a
range of different microorganisms to assess the impact of low levels of microbial contamination from
initial needle puncture/vial entry for the finished product. The level inoculum levels were
representative of contamination that may occur in an in-use situation when multiple doses are
withdrawn from the same vial. The results showed that growth of the inoculated microorganisms is
hindered for up to 24 hours at 20°C – 25°C. Hence, the proposed 6 hours in-use period from initial
needle puncture described in the product information is supported.

Manufacture of the product and process controls

mRNA-loaded LNP intermediate

Valid GMP certificates for the registered manufacturing sites have been provided.

The LNP manufacturing process comprises lipid stock solution (LSS) preparation, nanoprecipitation
mixing, tangential flow filtration (TFF), dilution and cryoprotectant addition, clarification, fill, and
freezing and storage.

The manufacturing process will be validated using a concurrent validation approach. This is acceptable
in view of the pandemic and the data provided. Process validation and comparability data will have to
be provided (Specific obligation 2). Upscaling of the manufacturing process should be included by
variation post-authorisation.

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Reprocessing is not performed for any unit operation.

CPPs and their PARs and IPCs for the LNP manufacturing process have been defined Process
intermediate hold conditions have been described and justified. Some clarifications and amendments
were needed for the manufacturing process description. Respective information and/or commitments
have been provided (REC).

Microbial controls have been adequately described.

For the manufacturing process of the LNP at the development manufacturing site (Moderna, TX)
protocols for PPQ have been provided Reports are available covering three PPQ batches each of the
proposed manufacturing scales. Altogether, the manufacturing process at Moderna, TX met acceptance
criteria and expected outcomes.

A comprehensive PPQ protocol for the proposed manufacturing site Lonza, Visp, Switzerland for the EU
market at the proposed commercial batch size is available. The pre-PPQ batch is executed in order to
verify and evaluate the transferred process and check the readiness of the process at manufacturing
scale prior to validation. Acceptable test results have been provided for that batch. This will be followed
by three PPQ batches at the commercial production scale. Validation results in accordance with the PPQ
protocols for the EU site Lonza, Visp, Switzerland are expected. This results in a specific obligation
(Specific obligation 2).

For the manufacturing process of mRNA-1273 LNP at Moderna, TX (not being registered for
manufacture of product for the European market) protocols for process performance qualification have
been provided Reports are available. Altogether, the manufacturing process for the scales presented
met acceptance criteria and expected outcomes.

A comprehensive PPQ protocol for the proposed EU manufacturing site Lonza, Visp, Switzerland for the
registered commercial batch size of mRNA-1273 LNP is available. However, some clarification was
needed, which has been provided.

The pre-PPQ batch has been executed at Lonza, Visp in order to verify and evaluate the transferred
process and check the readiness of the process at manufacturing scale prior to validation. The test
results for that batch have provided. This will be followed by three PPQ batches at the commercial
production scale.

Validation results in accordance with the PPQ protocols for Lonza, Visp, Switzerland are required
(Specific obligation 2). A brief description of the shipping process of mRNA-1273 LNP to the finished
product manufacturer should be included in the dossier (REC).

Finished product

Sites responsible for manufacturing and testing of the finished product (from mRNA-loaded LNP
intermediate to finished product) have been described Valid EU GMP certificates have been provided.

At the time of authorisation, the transfer of the identity and in vitro translation tests from Moderna, TX
(not being registered for manufacture of product for the European market) to Rovi Pharma Industrial
are ongoing to conclude by end of January 2021. The development site was inspected by AEMPS and it
was found to be GMP compliant. A time-limited exemption allowing reliance on batch control testing
conducted in the registered site that is located in a third country for these two QC tests is being
applied. (see Annex II of the opinion).

The nominal manufacturing batch size for the finished product has been defined.

Manufacturing process:

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The manufacturing of the finished product (from mRNA-loaded LNP intermediate) consists of dilution of
the mRNA-loaded LNP intermediate with a formulation buffer followed by 0.2 µm sterile filtration,
filling, stoppering, capping inspection, labelling and packaging.

The total process duration is defined.

Reprocessing is not performed during the production of the finished product.

The manufacturing process including controlled process parameters and in-process controls has been
described in sufficient detail. All single-use material used in the finished product manufacturing process
has been indicated. The control of critical steps and intermediates has been sufficiently described. CQA
and CPP and IPCs have been defined.

The microbial control strategy is in principle acceptable; however, the full data set supporting the hold
times is pending (Specific obligation 2).

Process performance qualification has been performed for three Scale A batches manufactured at the
Catalent, US site (not being registered for manufacture of product for the European market). For the
relevant process steps, IPCs and process parameters have been monitored with consistent results.
Process qualification also includes aseptic manufacturing steps in the filling line which is adequately
controlled by regular media fills.

For the Rovi site, which is the finished product manufacturing site (from bulk mRNA-loaded LNP
intermediate to finished product) for the EU CMA, the PPQ is ongoing; only one batch has been
manufactured to date. An adequate PPQ protocol has been submitted. The available data indicate that
the manufacturing process performs reliably and delivers product of adequate quality; however, the
full data set including at least 3 representative lots and including a justification of the hold times,
justified from a microbiological perspective, is required (Specific obligation 2). The applicant
committed towill provide a brief summary of the shipping validation of the finished product (REC).

A process validation scheme for the finished product has been provided. It includes supplemental
studies (i.e. Container Closure Integrity Testing (CCIT) qualification, filter validation, etc.). Results for
CCI qualification studies, acceptable data for the first process validation batch and the Bacterial
Challenge Filter Validation Study have been provided.

A concurrent validation approach will be used due to the urgent need for this product in the pandemic
situation and in light of the validation data already submitted this is accepted.

Control of excipients

Lipid SM-102 is a novel excipient, not previously used in an approved finished product within EU. 1,2-
distearoyl-sn-glycero-3-phosphocholine (DSPC) is a non-compendial excipient sufficiently controlled by
an in-house specification.

Cholesterol is controlled according to the Ph. Eur. monograph 0993 with additional tests for residual
solvents and microbial contamination. However, the applicant is also referring to a non-compendial
cholesterol. This should be clarified post-approval (REC).

1,2-Dimyristoyl-rac-glycero-3-methoxypolyethylene glycol-2000 (PEG2000 DMG),,) is a novel

excipient, not previously used in an approved finished product within EU. The other excipients
(tromethamol, acetic acid, sodium acetate trihydrate, sucrose and water for injections) are controlled
according to respective Ph. Eur. monograph or by in-house specifications (tromethamine
hydrochloride).

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Product specification
mRNA-loaded LNP intermediate

The following attributes have been included in the specification for mRNA-1273 LNP: appearance,
mRNA identity by reverse transcription/Sanger sequencing, total RNA content by anion exchange
chromatography, purity and product-related impurities by RP-HPLC, % RNA encapsulation by
absorbance assay, mean particle size and polydispersity by DLS, lipid identity by UPLC-CAD (SM-102,
cholesterol, DSPC, PEG2000-DMG), lipid content by UPLC-CAD (SM-102, cholesterol, DSPC, PEG2000-
DMG), lipid impurities by UPLC-CAD (% individual impurities and sum of impurities), pH, osmolality,
bacterial endotoxins (Ph. Eur. 2.6.14, kinetic chromogenic method) and bioburden (Ph. Eur. 2.6.12).

A justification for each specification attribute has been provided. batches from Moderna, TX have been
used to justify the acceptance criteria.

As indicated above, the applicant has committed to providing an updated LNP and finished product
appearance testing description including the characterisation test of potentially occurring visible
particles (Specific Obligation 1)

Following the request from the CHMP, the applicant added numerical specification limits for product-
related impurities in the specification for mRNA-loaded LNP intermediate.

As mentioned earlier, a commitment to tighten the specifications when more batch analysis data from
routine manufacturing are available has been provided. The applicant should establish final
specifications for LNP and the finished product no later than 30-06-2021 (Specific Obligation 3).

The mRNA-loaded LNP intermediate has been characterised with the following techniques: mRNA
encapsulation (absorbance assay) sub-micron LNP size distributions, size distributions), sub-visible
particles size distribution, sub-visible particle concentration, surface characterisation, surface charge,
and in vitro protein expression. The employed techniques are state-of-the-art methods to characterise
lipid nanoparticles and it can be concluded that the lipid nanoparticles have been comprehensively
characterised.

Lipid impurities and degradants are monitored and quantified to ensure impurity levels are well-
controlled.

Characterisation of mRNA-loaded LNP intermediate identified the presence of product variants and
degradants derived from CX-024414 mRNA covalently linking to LNP lipid impurities and degradants.
These lipid-RNA species render mRNA inactive and thus affect the potency of the product.

The lipid-RNA species have been isolated for characterisation. By multiple orthogonal analyses the
lipid-RNA species are analytically indistinguishable from unmodified mRNA and are not RNA
aggregates. Stability studies under frozen liquid and accelerated conditions have monitored these
impurities. The characterisation of these impurities is well described.

It was confirmed that lipid modification is significant enough prevent protein expression from the
particular mRNA molecule on which it resides.

Several actions have been undertaken to optimise the manufacturing processes of the lipid component
SM-102 and mRNA-1273 LNP leading to a significant reduction in potential lipid-RNA species. The
applicant should provide a comprehensive summary of the investigations and process changes related
to lipid-RNA species. The control strategy for lipid-RNA species its implementation and plans for further
improvement should be justified in more detail. Furthermore, the applicant should commit to update
the relevant Module 3 manufacturing development sections with this information (REC).

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It should be demonstrated that the detection wavelength is suitable for the quantification of lipid-RNA
species. UV spectra for impurity-enriched fractions should be provided post-approval (REC).

Analytical methods

All analytical methods are well described and the respective SOPs have been provided.

All analytical methods have been validated in accordance with ICH Q2. Validation summaries and
detailed validation reports from Moderna, TX have been provided. The quality of these reports is high
with the exception that robustness is addressed with the acceptance criterion ‘Intermediate precision
criteria are met’ what is not acceptable. Additional data should be provided post-approval.

Analytical method transfer protocols for the LNP from Moderna Tx to Lonza, Visp (EU testing site) have
been submitted. Final validation reports from Lonza, Visp should be provided once available (REC).

Batch analysis

Batch analysis data for several batches manufactured at Moderna, TX have been provided. All results
comply with the specifications applicable at the time of release. Moving forward, mRNA-1273 LNP will
be tested in accordance with the validated methods.

Batch analysis data and a CoA for Lot Lonza, Visp, EU commercial site has been provided.

Reference standard

For the Ultra-High-Performance Liquid Chromatography with Charged Aerosol Detection (UPLC-CAD)
method for lipid identification, lipid content and lipid impurity a lipid reference standard is used.

Finished product

The proposed finished product release specification includes tests for appearance (visual), mRNA
identity by reverse transcription/Sanger sequencing, total RNA content by anion exchange
chromatography, purity and product-related impurities by RP-HPLC, % RNA encapsulation by
absorbance assay, in vitro translation (methionine labelling), lipid identity by UPLC-CAD (SM-102,
cholesterol, DSPC, PEG2000-DMG), lipid content by UPLC-CAD (SM-102, cholesterol, DSPC, PEG2000-
DMG), lipid impurities by UPLC-CAD (% individual impurities and sum of impurities), mean particle size
and polydispersity by DLS, pH, osmolality, particulate matter, container content (USP), bacterial
endotoxin (Ph. Eur. 2.6.14, kinetic chromogenic method) and sterility (Ph. Eur. 2.6.1). Reference is
made to the FP stability section - mRNA-1273 LNP, for end of shelf-life specifications.

For the appearance test, the presence of product-related particles is covered by the specification,
although there have never been observed visible particles in the finished product to date. As indicated
above, the applicant committed to provide an updated LNP and finished product appearance testing
description including the characterisation test of potentially occurring visible particles as described
earlier in the report (Specific Obligation 1).

The presence of the 5´Cap structure and the polyA tail is controlled at release of CX-024414 mRNA;
omission of these tests at finished product release has been sufficiently justified.

Specifications are set relatively wide for a variety of release tests, although batch release data
demonstrate very consistent results which would allow for tighter limits. Following a request from the
CHMP, the applicant tightened the specification limit for %RNA encapsulation addressing the CHMP
concern since the included non-clinical data demonstrates strongly reduced protein expression for lots
with only that value of RNA encapsulation. For the in-vitro translation test the proposed specification
for a MW was also deemed too wide and was tightened.

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The applicant was also requested to add numerical specification limits for the product-related
impurities and not only report them as proposed. This was satisfactorily addressed by the applicant.
These limits may be further revised when batch analysis data become available (Specific Obligation
3).

The originally proposed specification limit for RNA purity was deemed not acceptable. The first finished
product batches (which include the clinical batches) had a purity higher than the originally proposed
limit. The one finished product lot manufactured at Rovi also had higher purity. This was raised as a
MO together with the shelf life claim and total process duration. The applicant has analysed the
influence of the process duration on RNA purity. The influence of the process duration on finished
product CQA has been analysed. During the procedure, the applicant provided phase III clinical data to
support the end-of-shelf life limit of RNA purity. This data included efficacy data from a limited number
of subjects receiving vaccine with lower purity (at least one of the two doses). The presented data did
not show an association between breakthrough cases of COVID-19 from clinical trials and RNA purity
level (within the ranges under discussion). In the Phase II study, comparable neutralising antibody
responses were observed for subjects receiving effective doses of 40 and 79 µg. In addition, in the
non-clinical setting, lots with low purity were shown to be as effective as lot with higher purity.
Considering the totality of data, the proposed lower purity limit is considered to be scientifically
justified. Under consideration of the well-defined degradation kinetics, the applicant proposes now
higher release specification of purity that would ensure acceptable RNA purity throughout the shelf life.

As indicated above, a commitment to tighten the specifications when more batch analysis data from
routine manufacturing are available has been provided. The applicant should review the specifications
for CX-024414, LNP, and the finished product no later than 30-06-2021 (Specific Obligation 3).

The applicant has committed to perform a risk assessment with respect to the potential presence of
elemental impurities in the finished product in line with ICH Q3D (REC).

The applicant provided a preliminary risk evaluation regarding potential nitrosamine contaminations in
the finished product, which is considered acceptable, but should be complemented with a quantitative
risk assessment, especially focusing on nanoparticle constituents. (REC).

Analytical methods

The analytical methods used for control of the final product have been described and most validation
reports for the Rovi site are part of the CMA dossier. Several requests related to the method
descriptions and validations have been adequately addressed. The applicant is performing a dye
ingress test for CCI verification during the stability, in lieu of sterility testing. The applicant has
committed to provide a description of this CCI test and its validation by 31-03-2021 (Specific
Obligation 2). For the in-vitro translation assay and the identity test, validation reports are missing
for Rovi and should be provided (respective reports are available for the testing site ModernaTX used
during the temporary exemption-ref. to Annex II.A). The applicant has will provide them no later than
31-01-2021 (REC). Non-compendial methods have been validated using appropriate validation
parameters.

Batch analysis

Batch analysis results have been presented for Scale A batches from the Moderna, TX site used for
phase III clinical trials, for Scale A batches PPQ batches manufactured at the Catalent, US site and for
5 Scale B batch from Catalent US site and for 1 Scale B batch from Rovi. All batches meet the pre-
defined specifications and the respective CoAs are included in the dossier. Release data for the
remaining PPQ lots from Rovi should be provided (Specific Obligation 2).

Reference standard

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The CX-024414 reference material is described in the active substance (CX-024414) section and will
serve as the reference material for mRNA-1273 finished product testing for the total RNA content
method by AEX-HPLC, the % purity method by RP-HPLC (system suitability) and the in vitro translation
assay/methionine labelling assay (positive control).

For the Ultra-High-Performance Liquid Chromatography with Charged Aerosol Detection (UPLC-CAD)
method for lipid identification, lipid content and lipid impurity a lipid reference standard is used.

Stability of the product

mRNA-loaded LNP intermediate

The mRNA-loaded LNP intermediate stability program was executed according to ICH Q1A (R2) and
ICH Q5C.

Stability samples manufactured per the commercial process were stored in containers made of the
same materials as the commercial closure system. Samples were stored at -60°C to -90°C (long term
conditions) for up to 4 months and 5°C ± 3°C (accelerated conditions) for 1 month.

Samples were tested using suitable stability-indicating assays for appearance, total RNA content,
purity, product-related impurities, % RNA encapsulation, lipid identity, lipid content, lipid impurities,
mean particle size, polydispersity, pH, osmolality, bacterial endotoxin and residual solvent (ethanol).

Up to now, all results are within specifications.

Data have been generated from one development lot, one clinical lot and three PPQ lots All lots were
manufactured at ModernaTX, Inc. Additional stability data will be provided post-approval.

The applicant will include all PPQ batches manufactured by Lonza AG, CH into the stability programme.
Section 3.2.S.7.2 ‘Post-approval stability protocol and stability commitments’ will be updated post-
approval (REC).

Stability studies in support of mRNA-loaded LNP intermediate freeze-thaw cycling were performed
using the development lot. The results show that the mRNA-1273 LNP biophysical attributes (particle
size, polydispersity, encapsulation) are not impacted by the different freeze-thaw processes (room
temperature or 2°C to 8°C) or 5 cycles of freeze-thaw.

The proposed shelf-life is considered acceptable.

Finished product

A finished product shelf-life of 7 months at -20°C including a period of 30 days at 2°C - 8°C (protected
from light) plus 12 hours at 8°C to 25°C (see product information for specific details) is proposed.

The finished product stability program was executed according to ICH Q1A (R2) and ICH Q5C.

Data from mRNA-1273 Phase 1, Phase 2, engineering and Phase 3 and commercial supplies were
provided. The mRNA-1273 development studies include lots representative of the GMP scales
manufactured at ModernaTX, Inc. (Norwood, MA). Samples were stored in a container made of the
same materials as the commercial closure system.

Samples were stored at -60°C to -90°C for up 6 months, -20°C ± 5°C (intended long-term condition)
for up to 6 months, 2°C - 8°C (intended short-term condition) for up to 5 months, 25°C ± 2°C
(accelerated condition) for up to 72h.

Samples were tested using suitable stability-indicating assays for appearance, RNA identification, total
RNA content, purity, product-related impurities, % RNA encapsulation, lipid identity, lipid content, lipid

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impurities, mean particle size, polydispersity, pH, in vitro translation, osmolality, particulate matter,
bacterial endotoxin and bioburden. However, not all tests are performed at every time point.

Stability data up to 6 months for two developmental lots and up to 4 months for clinical/PPQ lots at
different temperatures is available to date. These batches represent Scale A lots manufactured at
Moderna and Catalent in the US. No stability data from Rovi, EU batches are available so far. As stated
by the applicant, RNA purity in the finished product is clearly temperature sensitive and represents the
most important stability-indicating parameter. In addition, the parameters product-related impurities
and particle size are also impacted. For all stability lots, results showed no change of these parameters
when stored at -70°C for up to 6 months. For lots stored at -20°C, a slight decrease in RNA purity and
an increase in process-derived impurities and an increase in particle size can be observed over time;
all results were within the specification. At higher storage temperatures, RNA degradation is
accelerated, as expected. At 2°C - 8°C after 4 weeks a clear reduction of purity (together with increase
of product-related impurities and increase of particle size) is measured, A statistical model aligned with
the WHO 2006 guidance document, Guidelines on Stability Evaluation of Vaccines, is being applied for
the finished product The degradation rates and associated variance estimates were used to calculate
an internal Minimum Release Limit (MRL) for purity. This limit supports up to 7 months of storage at -
15°C to -25°C that can include up to 1 month of storage of the unopened vial at 2°C to 8°C (protected
from light), plus 12 hours at 8°C to 25°C. Reference is made to the approved product information for
precise details of the respective storage periods and permitted in-use storage.

The applicant first proposed a staggered shelf life approach, which defined the shelf-life dependent on
the RNA purity at release and whether lots were being tested before or after packaging. This approach
was not considered practical nor in line with EU expectations and was withdrawn by the applicant in
response to a major objection. A preliminary shelf life of 7 months at -20°C including a period of 30
days at 2°C - 8°C plus in-use time of up to 12 hours at RT was subsequently proposed and justified by
the available stability data. A post-approval stability protocol and stability commitment has been
provided. This should also include final photostability results. Nevertheless, the applicant should
provide periodic updates on the stability data and completion of the study should be provided for the
PPQ lots from Rovi stored at -20°C followed by a period at 2°C - 8°C. (Specific Obligation 3).

Stability studies in support of finished product freeze-thaw cycling were also performed. The freeze-
thaw cycling was repeated up to five times. All results were within the specification and indicate that
the final product is relatively stable with regard to repeated freeze-thaw steps support five freeze/thaw
cycles. Repeated freeze-thaw of vials upon marketing is however, not permitted in the approved
product information.

Upon request from CHMP, preliminary results from a photostability study performed in accordance with
ICH Q1B were presented. Final results will be submitted to the Agency. The presented data show that
the mRNA is sensitive to excessive light exposure but can be handled under normal room lighting
conditions without affecting product quality for at least 2 days of normal light exposure at 25°C. A
precautionary statement regarding light exposure has been included in the SmPC.

In-use stability studies were also performed. The finished product (vial) was held at room temperature
for either 1 hour or 7 hours after thaw. Dosing syringes were prepared from the vial after 1 hour and
then again after 7 hours upon completion of a 1-hour thaw at room temperature. The syringes were
then held for 0, 4, 8, and 12 hours at room temperature and refrigerated conditions. All attributes
remained within the acceptance criteria when held in a vial for up to 7 hours at room temperature after
first puncture, followed by storage in a syringe for up to 12 hours supporting the approved in-use
stability instructions of up to for 6 hours at 2 to 25ºC, in the product information.

Clinical in-use stability was also demonstrated for 6 hours after first puncture of the vial followed by 8
hours in the syringe at either ambient temperature or at storage between 2°C to 8°C. The data

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support the chemical and physical in-use stability for 6 hours at 2 to 25ºC after first puncture claimed
in the product information.

A finished product shelf-life of 7 months at -20°C including a period of 30 days at 2°C - 8°C (protected
from light), plus 12 hours at 8°C to 25°C (see product information for specific details) is accepted.

Adventitious agents

Section 3.2.A.2 should be updated to include information as regards control of sterility and a statement
as regards compliance with EMEA/410/01 Rev.3 requirements. The applicant has committed to do so
no later than 31-03-2021 (REC).

There are no materials of animal or human origin used in the manufacture of the active substance or
finished product.

The manufacturing process description for active substance and finished product also documents the
microbial control strategy- see Microbiological attributes section under Description of the product and
Pharmaceutical Development - Manufacturing process development- (mRNA-1273 LNP).

GMO

Not applicable.

Regional information
Process validation schemes for LNP (Lonza, Visp) and the finished product (Rovi, Spain) have been
provided the dossier. A concurrent validation approach will be used for initial Scale B process and Scale
B due to the urgent need for this product. The rationale for this approach is documented. This
concurrent approach requires interim reports to be documented for each individual validation run. An
overall report per site will be compiled that summarizessummarises all evaluations and contains a
comparability assessment of the data of all batches manufactured. Finally, a concluding report linked
to this plan will be written that summarises all findings from the different validation reports.

2.2.4. Discussion on chemical, pharmaceutical aspects and biological

aspects

During the procedure, a number of issues were highlighted relating to: GMP status of the manufacture
of the active substance and of the testing sites of the finished product for the purpose of batch release,
the comparability between clinical and commercial material, and the absence of data on finished product
manufactured at the commercial site.

These issues were classified as Major Objections (MOs) in order to ensure completion of the data set
by the applicant at appropriate time points. Further MOs were raised regarding the potential presence
of visible particles in the mRNA-loaded LNP intermediate and final product and regarding the proposed
RNA purity at release and at the end of shelf life. EU GMP certificates for the manufacturing and testing
sites were subsequently obtained. This MO was therefore resolved.

Data have been submitted by the applicant during the procedure in relation to the Major Objections,
while a number of specific obligations (SOs) are identified as necessary in order to complete the quality
documentation. Further information is provided below on the resolution of the major objections and the
rational for accepting a number of open issues to be addressed as specific obligations post-marketing.
Several other issues are further highlighted as Recommendations to be addressed by the applicant
post-approval.

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The CTD Module 3 dossier structure currently describes the mRNA, the lipid excipients and the lipid
nanoparticles in 3.2.S. During the procedure, the BWP confirmed that the mRNA (referred to by the
applicant as CX-024414) should be considered as the active substance as per Directive 2001/83/EC
and this was accepted by the applicant. Although the current dossier structure would require
adjustment to meet EU CTD requirements, there are no associated risks for GMP or product quality at
the time of authorisation. In order to bring the current dossier structure in line with EU CTD
requirements the company should update the Module 3 CTD structure in line with the agreed active
substance and finished product definitions (REC 1.1).

In addition, it should be ensured that, in accordance with Annex I of Directive 2001/83/EC and Article
16 of Regulation (EC) No 726/2004, the active substance and finished product are manufactured and
controlled by means of processes and methods in compliance with the latest state of scientific and
technical progress. As a consequence, the manufacturing processes and controls (including the
specifications) shall be designed to ensure product consistency and a product quality of at least shown
to be safe and efficacious in clinical trials and shall introduce any subsequent changes to their
manufacturing process and controls as needed.

Active substance

The major part of the dossier is of acceptable quality. However, certain information and data
requirements remain to be provided, due to the very short time frame of product development. These
data will be submitted in the closing sequence or further addressed in specific obligations and other
post-approval measures (recommendations). Information on the manufacturing process and process
controls for the manufacturing sites Lonza, Visp, and Rovi is provided.

Biological characterisation of the active substance was provided and certain points need to be
addressed post-approval. Since these outstanding data form the basis of the determination of
comparability for scale-up and transfer of manufacturing processes for the active substance, additional
data are requested as Specific Obligation 1.

Several active substance processes have been used during the development; from personalised
vaccine unit to Process Scale A (clinical trial material) and initial Scale B. The major change was from
PVU process to the Scale A process, including the addition of two tangential flow filtration unit
operations for the Scale A process. No changes were made to the unit operations or sequence of unit
operations from Scale A to initial Scale B processes. Major Objections in relation to insufficient
validation data for the active substance manufacturing process (initial scale B) resulted in Specific
Obligation 2.

In the initial Rolling Review submission, PPQ data from the Scale A and initial Scale B from the US
manufacturing sites was provided. In a second submission data from one batch manufactured at
Lonza, Visp included. The data from the EU manufacturing batch showed a good comparability to the
PPQ lots from the US sites. The complete PPQ/validation of Lonza, Visp will be provided post-approval
via a Specific Obligation 2.

The proposed specification for active substance is acceptable with respect to the attributes chosen for
routine release testing in the context of the pandemic situation. However, the active substance
specifications acceptance limits should be re-assessed, and revised as appropriate, as further data
becomes available from ongoing clinical trials and in line with manufacturing process capability.

Although the stability data were limited, the applicant has demonstrated a good understanding of the
mode and rate of degradation. and the data available justify the current shelf life. To supplement the
knowledge on stability, further data are requested as Specific Obligation 3.

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The proposed initial shelf life for the active substance is 6 months at the recommended storage
temperature of -20°C.

Finished product

The finished product is a multi-dose (10-dose) ready-to-use dispersion for intramuscular injection of
mRNA embedded in lipid nanoparticles (LNP).

The formulation development studies of the mRNA containing lipid nanoparticles have been sufficiently
described.

The development of the manufacturing process is sufficiently described, and critical process
parameters are defined.

The manufacturing process includes lipid nanoparticle fabrication followed by fill and finish (at Rovi).
The processes have been acceptably described.

Comparability between the commercial finished product and the clinical finished product has been
sufficiently demonstrated for a CMA for the attributes tested. Limited data on the intermediate and
finished product batches manufactured at the commercial facility Lonza, Visp and Rovi (EU market)
were presented, since so far only one PPQ batch of the intermediates and the final product has been
produced.

Although initial information has been provided to support comparability of LNP intermediate, the
applicant should provide comparability results including extended characterisation data using the full
panel of characterisation methods from all PPQ batches manufactured by Lonza AG, CH demonstrating
that the commercial product manufactured at the Lonza, Visp site is representative of the material
used in the clinical trials. (Specific Obligation2).

For the finished product, results are available for one scale B lot manufactured at the finished product
manufacturing site for the EU market (Rovi, Spain) therefore, although there is sufficient comparability
information to justify approval in this pandemic, no final conclusion can be drawn with regard to Scale
A to Scale B comparability. The final validation report including an assessment of comparability is
therefore requested in a specific obligation (Specific Obligation 2).

Process validation (PPQ) for commercial scale batches were initiated, and a summary report from one
PPQ validation batch was provided. The reported results were comparable to the PPQ batches from the
US sites. Further data was requested in order to conclude on the consistency of finished product
manufacturing, to assure comparability between the commercial product with the product produced at
the US sites that was also used in clinical trials, and to support the claimed finished product shelf-life
and storage conditions. A process validation plan for PPQ lots has been provided. A concurrent
validation approach will be used due to the urgent need for this product and the pandemic situation.
The rationale for this approach has been documented.

An overall PPQ report, which also includes comparability data, will be submitted when data from three
consecutive batches manufactured at Lonza, Visp and Rovi will be available. In summary, an
acceptable validation program has been established and an interim report from one PPQ validation
batch was provided, therefore the information on process validation is considered acceptable subject to
a specific obligation for submission of the remaining data (Specific Obligation 2).

The specification document for finished product includes a comprehensive panel of relevant tests along
with corresponding acceptance criteria. Several issues in relation to the acceptance criteria in the
finished product specifications were raised in the 1st Quality data submission, i.e. the LNP size,
polydispersity, RNA encapsulation, in-vitro expression. In addition, open questions regarding the
regarding the clinical justification of the proposed minimum acceptable RNA purity were discussed in

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an oral explanation. during the evaluation. Whilst finished product specifications were subsequently
amended and overall found to be acceptable, the acceptance limits should be re-assessed, and revised
as appropriate, as further data becomes available (Specific Obligation 3). In addition, the applicant
should provide an updated appearance testing description for LNP and finished product including the
characterisation test of potentially occurring visible particles since these have not been clinically
qualified (Specific Obligation 2).

The proposed initial shelf life for the finished product of shelf life of 7 months at -20°C including a
period of 30 days at 2°C - 8°C is found acceptable, but should be confirmed by further stability data
from lots manufactured at the Rovi site (Specific Obligation 3).

The applicant is performing a dye ingress test for cCCI verification during the stability, in lieu of
sterility testing. The applicant has committed to provide a description of this CCI test and its validation
(Specific Obligation 2).

Two novel excipients are included in the LNP. Limited information is provided for both the lipid SM-102
and the PEGylated lipid PEG200-DMG. Although this is sufficiently supportive for conditional marketing
authorisation, in order to assure comprehensive control throughout the lifecycle of the finished product
and to ensure batch-to-batch consistency, further information needs to be submitted regarding the
synthetic process and control strategy in line with raised recommendations (Specific Obligation 1).

2.2.5. Impact on the benefit-risk assessment:

Efficacy, safety and immunogenicity was demonstrated using clinical batches of vaccine manufactured
at Scale A. The commercial batches are produced using an up-scale process (initial Scale B for the active
substance, Scale B for the finished product), and the comparability of these processes rely on
demonstration of comparable biological, chemical and physical characteristics of the active substance
and finished product.

The characterisation and control of active substance and finished product are acceptable in relation to
critical quality attributes and impurities.

The control strategy for active substance and finished product is essential to guarantee acceptable quality
and ensure batch-to-batch consistency of the finished product. Regarding the proposed control strategy,
questions were raised with regards to the acceptance criteria for some tests. However, the data provided
so far, including specifications and in-process controls, assure an overall consistent good quality of the
product and the potential risks founded on data not yet available are considered to be very low.
Therefore, control of the active substance and finished product is considered acceptable.

While some of the characterisation data still need to be completed, the characterisation of the active
substance and finished product are considered acceptable subject to specific obligation, and the
proposed specifications for RNA purity and is considered scientifically justified and acceptable subject
to specific obligation.

2.2.6. Conclusions on chemical, pharmaceutical and biological aspects

The quality of this medicinal product, submitted in the emergency context of the current (COVID-19)
pandemic, is considered to be sufficiently consistent and acceptable subject to specific obligations.

In general, physicochemical and biological aspects relevant to the clinical performance of the product
have been investigated and are controlled in an acceptable way. While some of the characterisation
data still need to be completed, the results of tests carried out indicate consistency of product quality
characteristics, and these in turn lead to the conclusion that from a quality perspective the product is
expected to have a satisfactory clinical performance.

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The submitted information indicate that currently manufactured product batches are of a quality that is
appropriate and sufficiently comparable to that of clinical development batches. However, to ensure
that the quality of future batches will also remain appropriate and comparable to that of clinical
development batches over the life cycle of the medicinal product a number of issues are expected to
be addressed though fulfilment of specific obligations, within defined time frames.

The CHMP has identified the following specific obligations to address the identified quality
developments issues that may have a potential impact on the safe and effective use of the medicinal
product, and which therefore are needed to achieve comprehensive pharmaceutical (quality) data and
controls for the product. The specific points that need to be addressed in order to fulfil the imposed
specific obligations are detailed below.

In accordance with Article 16 of regulation (EC) No 726/2004, the MAH shall inform the Agency of any
information which might influence the quality of the medicinal product concerned, such as any
necessary tightening of the finished product specifications earlier than July 2021. This is also related to
the general obligation to vary the terms of the marketing authorisation to take into account the
technical and scientific progress and enable the medicinal product to be manufactured and checked by
means of generally accepted scientific methods.

To complete the quality documentation in the framework of the conditional marketing authorisation, the
applicant should fulfil the following specific obligations (SOs) post-approval.

• SO1: In order to complete the characterisation of the active substance and finished product
manufacturing processes, the applicant should provide additional data. no later than 01-02-
2021.

• SO2: In order to confirm the consistency of the active substance and finished product
manufacturing process (Initial and final scales), the applicant should provide additional
comparability and validation data. no later than 30-04-2021. Interim reports will be provided
monthly prior to this date.

• SO3: In order to ensure consistent product quality, the applicant should provide additional
information on stability of the active substance and finished product and review the active
substance and finished product specifications following further manufacturing experience. no
later than 30-06-2021.

As regards SO1 the following data are requested in order to complete the characterisation of the
active substance and finished product manufacturing processes

(i) A tabulated summary of FMEA performed for the CX-024414 (mRNA) active substance including the
conclusions drawn and appropriate justifications for criticality assignment and (de) prioritisation of
characterisation studies should be provided no later than 15-01-2021.

(ii) Tabulated summaries of the actual settings of the investigated parameters, analytical results, and
the prediction profiles should be provided for all process characterisation studies of CX-024414 (mRNA)
active substance no later than 15-01-2021.

(iii) The applicant should provide the updated LNP and finished product appearance testing description
including the characterisation test of potentially occurring visible particles no later than 01-02-2021.

(iv) A summary of the process risk assessment that forms the basis for process characterisation and the
control strategy for the finished product should be submitted as committed by the applicant by 15-01-
2021.

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As regards SO2 the following data are requested in order to confirm the consistency of the active
substance and finished product, manufacturing process (initial and final scales), the applicant should
provide additional comparability and validation data.

(v) The applicant should provide additional data to confirm that the initial Scale B CX-024414 (mRNA)
active substance and initial Scale B for LNP intermediate processes are properly validated at Lonza, Visp.

(vi) Process and batch data from at least 3 representative batches should be provided for the CX-024414
(mRNA) active substance (initial Scale B process at Lonza, Visp. The final PPQ report for initial Scale B
willshould be submitted no later than 30-04-2021. Batch data will be submitted monthly before final
PPQ.

(vii) The applicant should provide comprehensive comparability data on CX-024414 (mRNA) active
substance and LNP from initial Scale B process at Lonza, Visp demonstrating that the commercial product
manufactured at the Lonza, Visp site is representative of the material used in the clinical trials no later
than 30-04-2021

(viii) The applicant should provide additional data to confirm finished product process validation. Process
and batch data from at least 3 representative finished product batches should be provided for the scale
B process at Rovi, Spain. A justification of the hold times, from a microbiological perspective, should be
included. A process validation data summary report will be submitted no later than 01-02-2021.

(ix) The applicant should provide comprehensive comparability data demonstrating that the commercial
finished product manufactured at the Rovi site is representative of the material used in the clinical trials.
A final validation report including an assessment of comparability should be provided no later than 01-
02-2021.

(x) The applicant should submit the description of the container closure integrity (CCI) test used as part
of stability testing and its validation information by 31-03-2021.

As regards SO3, additional information on stability of the active substance and finished product should
be provided and a review of the active substance and finished product specifications should be conducted
following further manufacturing experience.

(xi) An update on all ongoing stability studies on CX-024414 (mRNA) active substance should be
provided when data through 3 months is available from the three PPQ batches (initial Scale B CX-
024414) manufactured at Lonza, Visp in Mobius bags no later than 31-05-2021.

(xii) The applicant should review the specifications for CX-024414 (mRNA) active substance: appearance,
purity, product-related impurities, % 5’capped, % PolyA tailed RNA, residual DNA template; LNP:
appearance, lipid impurities, purity, product-related impurities, % RNA encapsulation, particle size,
polydispersity, osmolality; no later than 30-06-2021.

(xiii) The applicant should review the specifications for the finished product: appearance, RNA content,
purity, product –related impurities, % RNA encapsulation, in vitro translation, lipid content, lipid
impurities, particle size, polydispersity, osmolality no later than 30-06-2021.

(xiv) Periodic updates on the stability data (e.g. upon availability of data for 3 m + 4 weeks at 2°C –
8°C, 6 m + 4 weeks at 2°C – 8°C and 12 m and completion of the study) should be provided for the PPQ
lots from Rovi. For the first Rovi lot, 3 months at -20°C + 4 weeks at 2°C – 8°C by 31.05.2021; 12
months of data to support overall program (basis of US data) at -20°C + 4 weeks at 2°C – 8°C by
28.02.2021. The applicant will provide quarterly stability updates starting on 01-04-2021. Completion
of study by 01-04-2021.

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2.2.7. Recommendations for future quality development

In the context of the obligation of the MAHs to take due account of technical and scientific progress,
the CHMP recommends additional points for investigation, as listed in Annex I of this document.

Note: The active substance is the mRNA CX-024414. However, in the submitted dossier, the
information on the LNP have not been provided in the correct section of the dossier. An update of the
current dossier structure should be provided (see REC1.1). The references in the list of
recommendations relate to the current structure of the dossier. It is recommended (REC1.1), that all
information pertaining to the LNP should be moved in adequate sections of 3.2.P.

2.3. Non-clinical aspects

2.3.1. Introduction

Non-clinical immunogenicity and protective activity of mRNA-1273 have been evaluated in young mice
(Balb/c, Balb/cJ, C57BL/6, and B6C3F1/J), aged mice (Balb/c), Syrian golden hamsters, and rhesus
macaques. The potential of mRNA-1273-associated enhancement of the respiratory disease was also
addressed in these animal models. The animal models that were used are considered suitable for the
assessment of the immunogenicity, efficacy and safety of mRNA-1273.

No studies on the secondary pharmacodynamics, safety pharmacology, and pharmacodynamics drug

interactions have been performed, which is in accordance with applicable guidelines.

Regarding the test item, mRNA-1273 is a novel lipid nanoparticle (LNP)-encapsulated mRNA-based
vaccine against SARS-CoV-2. mRNA-1273 encodes for the full-length S protein of SARS-CoV-2,
modified to introduce 2 proline residues in order to stabilise the S protein in a prefusion conformation
(S-2P). The mRNA is encapsulated in LNPs through a modified ethanol-drop nanoprecipitation process.

Table 1 – Overview of non-clinical development

Study Title Study Number Test System

Pharmacology Studies
Vaccination and protein re-stimulation in young BALB/c MOD-3937 BALB/c mice F only
mice with enhanced respiratory disease endpoint
monitoringa
Evaluation of immunogenicity and determination of titres MOD-3938/ BALB/c mice F only
dynamic range of mRNA-1273 (SARS-CoV-2)a MOD-3940

Immunogenicity and protection from SARS-CoV-2 VRC01 BALB/cJ, C57BL/6J, and

challenge of mice immunized with mRNA-1273a B6C3F1/J mice

Efficacy of mRNA-1273 and enhanced disease in aged VRC02 BALB/c mice, >12
BALB/c mice a months age

Study Title Study Number Test System

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 Evaluation of immunogenicity and efficacy of mRNA- UTMB01b Syrian golden hamster M
1273 in the Syrian golden hamster modela and F

Immunogenicity and protective efficacy of mRNA-1273 in VRC04 Rhesus macaques

rhesus macaquesa

Evaluation of immunogenicity and efficacy from VRC07 Rhesus macaques

expanded dose range of mRNA-1273 in rhesus
macaquesa
Biodistribution Study
A single dose intramuscular injection tissue distribution 5002121 Sprague Dawley rat, M
study of mRNA-1647 in male Sprague-Dawley ratsc Amendment 1 only
Repeat-dose Toxicology Studies
Zika: A 1-month (3 doses) intramuscular injection 5002045 Sprague Dawley rat, M
toxicity study of mRNA-1706 in Sprague-Dawley rats and F
with a 2-week recovery periodd, e

A 1-month (3 doses) intramuscular injection toxicity 5002231 Sprague Dawley rat, M

study of mRNA-1706 in Sprague-Dawley rats followed by and F
a 2-week recovery period d, e
A 1-month (3 doses) study of mRNA-1653 by 5002033 Sprague Dawley rat, M
intramuscular injection in Sprague-Dawley Rat with a 2- and F
week recovery period f,e

A 1-month (3 doses) intramuscular injection toxicity 5002400 Sprague Dawley rat, M

study of mRNA-1893 in Sprague-Dawley rats followed by and F
a 2-week recovery period g, e

A 6-week (4 doses) intramuscular injection toxicity study 5002034 Sprague Dawley rat, M
of mRNA-1647 in Sprague-Dawley rats followed by a 2- and F
week recovery period c, e
A 6-week (4 doses) intramuscular injection toxicity study 5002158 Sprague Dawley rat, M
of mRNA-1443 in Sprague-Dawley rats followed by a 2- and F
week recovery period i, e
Other Toxicity Study
A non-GLP repeat-dose immunogenicity and toxicity 2308-123 Sprague Dawley rat, M
study of mRNA-1273 by intramuscular injection in and F
Sprague Dawley rats a
Genotoxicity Studies
SM-102 bacterial reverse mutation test in Salmonella 9601567 S. typhimurium and E. coli
typhimurium and Escherichia coli e strains, in vitro
SM-102 in vitro mammalian cell micronucleus test in 9601568 Human peripheral blood
human peripheral blood lymphocytese lymphocytes
Zika mRNA: mammalian erythrocyte micronucleus test in 9800399 Sprague Dawley rat, M
rat d, e and F
NPI luciferase mRNA in SM-102-containing lipid AF87FU.125012 Sprague Dawley rat, M
nanoparticles: in vivo mammalian bone marrow NGLPICH.BTL and F
erythrocyte micronucleus assay in the rat
Abbreviations: CMV = cytomegalovirus; eCTD = electronic common technical document; ERD = enhanced
respiratory disease; F = female; GLP = Good Laboratory Practice; M = male; mRNA = messenger RNA; SM-102 =
heptadecan-9-yl 8-((2-hydroxyethyl)(6-oxo-6-(undecyloxy)hexyl)amino)octanoate; Tris- HCl =
tris(hydroxymethyl)aminomethane-hydrochloride; VRC = Vaccine Research Centre.
Notes
a mRNA-1273 contains a single mRNA sequence that encodes for the full-length SARS-CoV-2 S-2P combined in a
mixture of 4 lipids (SM-102, PEG2000-DMG, cholesterol, and DSPC) and formulated in 20 mM Tris, 87 mg/mL
sucrose, 10.7 mM sodium acetate, pH 7.5.
b This study was designed by the Sponsor and conducted by the University of Texas Medical Branch.
c mRNA-1647 contains 6 mRNAs which encode the full-length CMV gB and the pentameric
gH/gL/UL128/UL130/UL131A glycoprotein complex. The 6 mRNAs are formulated at a target mass ratio of

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EMA/15689/2021 Page 44/169
1:1:1:1:1:1 in a mixture of 4 lipids (SM-102, PEG2000-DMG, cholesterol, and DSPC) and formulated in 93 mM Tris,
60 mM NaCl, and 7% PG.
d mRNA-1706 contains a single mRNA sequence that encodes the prME structural proteins of Zika virus combined in
a mixture of 4 lipids (SM-102, PEG2000-DMG, cholesterol, and DSPC) and formulated in 20 mM Tris, 8% sucrose,
pH 7.4.
e A Good-Laboratory Practice study.
f mRNA-1653 contains 2 distinct mRNA sequences that encode the full-length membrane-bound fusion proteins of
hMPV and PIV3. The 2 mRNAs are formulated at a target mass ratio of 1:1 in a mixture of 4 lipids (SM-102,
PEG2000-DMG, cholesterol, and DSPC) and formulated in 93 mM Tris, 7% PG, 1 mM DTPA, pH 7.4.
g mRNA-1893 contains a single mRNA sequence that encodes the prME structural proteins of Zika virus in a mixture
of 4 lipids (SM-102, PEG2000-DMG, cholesterol, and DSPC) and formulated in 100 mM Tris, 7% PG, 1 mM DTPA, pH
7.5.
h mRNA-1443 contains a single mRNA sequence that encodes for a phosphorylation mutant of the CMV pp65
protein (i.e., deletion of amino acids 435-438) combined in a mixture of 4 lipids (SM-102, PEG2000-DMG,
cholesterol, and DSPC) and formulated in 93 mM Tris, 60 mM NaCl, and 7% PG.
i NPI luciferase mRNA is combined in a mixture of 4 lipids (SM-102, PEG2000-DMG, cholesterol, and DSPC) and
formulated in 25 mM Tris, 123 g/L sucrose, 1 mM DTPA, pH 7.5.

2.3.2. Pharmacology

Primary pharmacodynamic studies

Immunogenicity studies

In rodents (mice, hamsters) and nonhuman primates (NHPs), mRNA-1273 elicited robust humoral
immune responses in a dose-dependent manner, following intramuscular administrations. This is
evidenced for the S-2P-binding IgG responses measured in Enzyme-Linked-Immunosorbent Assays
(ELISAs), and equally also for the neutralising antibodies when assayed using either homotypic SARS-
CoV-2 pseudovirus or live virus plaque reduction neutralisation test. The induced antibodies were
shown to be specific for the Receptor-Binding-Domain and S1_N Terminal Domain of the Spike protein
in mRNA-1273-vaccinated mice and NHPs. The post-boost binding and neutralising antibody titres
induced by the mRNA-1273 prime-boost schedule were generally higher than the post-prime titres
induced on the prime-only schedule across the tested species (rodents, NHPs) and regardless of strains
and age of mice tested.

In two studies in young Balb/c mice, a strong positive correlation between S-2P-binding IgG titres and
neutralising antibody titres induced by mRNA-1273 was observed. In general, a higher dose of mRNA-
1273 was required for induction of detectable neutralising titres in mice and NHPs than for induction of
detectable binding IgG response.

To assess the potential risk for Vaccine-induced Enhancement of Disease (VAED) for mRNA-1273, the
type of T helper responses (Th1 vs Th2) was evaluated in mRNA-1273 immunised mice and NHPs,
based on IgG subclasses measured by ELISA (IgG2a, IgG1, IgG2a/IgG1, young and aged Balb/c mice),
and/or T-cell cytokines (e.g. IFN-g, IL-2, TNF-a; IL-4, IL-5, IL-10, IL-13, etc) measured by intracellular
cytokine straining (ICS) and FACS (in young Balb/c mice, in NHPs). In mice, high IgG1 subclass with
low or no IgG2a (Balb/c) is associated with a Th2 response, whereas a balanced IgG2a/IgG1 ratio is
indicative of a Th1-directed response. The vaccine was shown to elicit a balanced IgG2a/IgG1 ratio in
the immunised young and aged Balb/c mice, which is indicative of a Th1-skewed response. Consistent
with this, vaccination of young mice with mRNA-1273 drove a Th1-directed CD4+ T cell response to
both S1 and S2 overlapping peptide pools that encompass the entire S protein of the SARS-CoV-2,
characterised by IFN-g/IL-2/TNF-a-producing T cells. Robust Th1-directed CD8+ T cell response to S1
peptide pool (but not S2 peptide pool) was also evident in vaccinated young mice. Overall, the
frequency of S-derived peptides-specific CD4+ and CD8+ Th2 cytokine secreting cells (e.g. IL-4, IL-5,
IL-13) were lower than Th1-directed T cells in mRNA-1273-vaccinated mice.

In NHPs, mRNA-1273 was shown to induce substantial Th1-directed CD4+ T cells as well as IL-21-
producing follicular helper (Tfh) cell response to the SARS-CoV-2 S1 peptide pool, in a dose-dependent

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manner. There was no evidence of a Th2-directed CD4+ T cell response induced in the vaccinated
NHPs. No analysis on S1-specific CD8+ T cells was performed in these NHP studies.

Challenge studies

The protective activity of mRNA-1273 was evaluated in challenge-protection studies in young and aged
Balb/c mice, hamsters and NHPs. Three weeks post-boost, hamsters were challenged i.n. with 105 PFU
of wild-type SARS-CoV-2 virus. Four weeks post-boost (5 weeks for young mice), aged and young
mice were challenged with mouse adapted SARS-CoV-2 virus (i.n. 103 PFU in aged mice; i.n. 105 PFU
in young mice), and NHPs with wild-type SARS-CoV-2 (i.t. and i.n., 7.6x105 PFU).

A clear dose-dependent protection was demonstrated in all animal challenge studies.

In aged mice, 1 µg dose of mRNA-1273 on prime-boost schedule completely protected mice from virus
replication in the lungs at Days 2 and 4 post-challenge and prevented body weight loss at Day 4 post-
challenge. Full protection against lung inflammation and lung haemorrhage was also evident. The 0.1
µg dose conferred partial protection, consistent with a lower immune response compared to the 1 µg
dose group.

In young mice, 1 or 10 µg dose of mRNA-1273 conferred complete protection from virus replication in
the lungs at Day 2 post-challenge, with 0.1 µg dose conferring partial protection. In this model, a clear
effect on lung histopathology was evident even for the 0.1 µg and 0.01 µg doses.

In hamsters, mRNA-1273 was shown to protect animals from body weight loss and viral infection,
respectively, by Day 6 and Day 4 post-challenge. The protected animals, receiving 1, 5, and 25 µg of
mRNA-1273 on a prime/boost schedule, displayed mean viral titres below the limit of detection in the
lungs and nasal turbinate at Day 4 post-challenge, and all but one in the 1 µg prime-boost group had
no detectable viral replication (sgRNA) in the lungs by Day 4 post-challenge. Consistent with these
findings, the lung pathological changes were generally milder in the vaccinated hamsters compared to
the control animals.

In nonhuman primates, IM administration of mRNA-1273 at 30 µg dose on a prime-boost schedule or

100 µg dose on a prime-only schedule conferred complete protection from virus replication in the lungs
at Day 2 post-challenge. The 2.5 µg prime-boost dose provided partial protection, consistent with
suboptimal immune responses. Although breakthrough virus replication in the lungs was detected in
this low dose group of animals, the lung histopathological analyses did not reveal enhanced lung
inflammation compared to control animals. In another study, 100 µg of mRNA-1273 on a prime-boost
schedule completely protected animals from virus replication in the lungs at Day 4 post-challenge. This
protective effect was further substantiated by post-challenge assessments of the bronchoalveolar
lavage (BAL) IgG and cytokines/chemokines, post-challenge neutralising titres, or lung histopathology
data. Breakthrough virus replication in the lungs was detected at Day 2 post-challenge in both 10 µg
and 100 µg dose groups in this study, however, lung histopathology analyses in these breakthrough
animals did not reveal enhanced lung inflammation compared to control animals.

The aggregate data of challenge-protection studies do not indicate a sign of disease enhancement risk
for mRNA-1273, when compared to controls including PBS group. Specifically, all challenge-protection
studies conducted in mice, hamsters and NHPs did not show increased infiltrate of the eosinophils in
the lung of the vaccinated animals.

Efforts have been made to explore a surrogate of protection in challenge protection studies using 2-3
dose levels of mRNA-1273, in order to achieve full and partial protection. However, no clear conclusion
could be made at this moment.

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Safety pharmacology programme

No dedicated safety pharmacology studies with mRNA-1273 were conducted. This is considered
acceptable in light of the lack of signals on vital organ functions from the completed GLP repeat-dose
toxicity studies and clinical studies submitted with mRNA-1273, as recommended by applicable
vaccines guidelines (e.g. WHO Guidelines on Nonclinical Evaluation of Vaccines).

2.3.3. Pharmacokinetics

No dedicated ADME studies with mRNA-1273 were conducted, which is acceptable as generally
nonclinical PK studies are not relevant to support the development and licensure of vaccine for
infectious diseases. However, distribution studies should be conducted in the case of new formulations
or novel excipients used.

Accordingly, the biodistribution of the vaccine platform was evaluated with mRNA-1647 in a non-GLP,
single-dose, intramuscular injection study in Sprague Dawley rats. The objectives of this study were to
determine the tissue distribution and pharmacokinetic characteristics of mRNA-1647 constructs
following IM administration.

mRNA-1647 contains 6 mRNAs, which encode the full length CMV glycoprotein B (gB), and the
pentameric glycoprotein H (gH)/glycoprotein L (gL)/UL128/UL130/UL131A glycoprotein complex
(Pentamer). The 6 mRNA are formulated at a target mass ratio of 1:1:1:1:1:1 in the Sponsor’s
standard proprietary SM-102–containing LNPs. It is biologically plausible that the distribution of the
mRNA vaccine is determined by the lipid nanoparticle content, whereas the influence of the mRNA itself
is considered very limited. Therefore, it is acceptable that the biodistribution study was performed with
the same lipid nanoparticles containing another mRNA (i.e. mRNA-1647).

The amount of the LNPs in the test material differed slightly in particle size from the final vaccine
formulation of mRNA-1273. Even though it is not straightforward to understand the impact that the
different particle size might have on mRNA tissue distribution, if any, nevertheless the liver distribution
is not affected because the average diameter of endothelial fenestrae in the liver sinusoids in the test
system (Sprague–Dawley rats) is 161 nm. The observed biodistribution with smaller LNP particle size
should thus represent a worst-case scenario.

A qualified multiplex branched DNA (bDNA) assay was used for determination of mRNA in various
tissues in the biodistribution study conducted with mRNA-1647. The LLOQ of the method were set at
0.05 ng/mL for the gB mRNA and UL130 mRNA, and 0.01 ng/mL for the gH, gL, UL128 and UL131A
mRNAs. Following single IM injection at 100 µg mRNA-1647, subgroups of 5 rats were sequentially
sacrificed pre-dose and 2, 8, 24, 48, 72, and 120 hours after dosing, for quantitation of 6 mRNA
constructs in blood and a pre-specified set of organs/tissues.

Concentrations of mRNA-1647 were quantifiable in the majority of tissues examined at the first time
point collected (2 hours post-dose) and peak concentrations were reached between 2- and 24-hours
post-dose in tissues with exposures above that of plasma. Besides injection site [muscle] and lymph
nodes [proximal and distal], increased mRNA concentrations (compared to plasma levels) were found
in the spleen and eye. Both tissues were examined in the frame of the toxicological studies conducted
with mRNA-1273 final vaccine formulation. Low levels of mRNA could be detected in all examined
tissues except the kidney. This included heart, lung, testis and also brain tissues, indicating that the
mRNA/LNP platform crossed the blood/brain barrier, although to very low levels (2-4% of the plasma
level). Liver distribution of mRNA-1647 is also evident in this study, consistent with the literature
reports that liver is a common target organ of LNPs.

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The T1/2 of mRNA-1647 was reliably estimated in muscle (site of injection), proximal popliteal and
axillary distal lymph nodes and spleen with average T1/2 values for all vaccine components of 14.9,
34.8, 31.1 and 63.0 hours, respectively. mRNA-1647 was rapidly cleared from plasma during the first
24 hours with the T1/2 estimated in a range of 2.7 - 3.8 hours. The mean concentrations of all vaccine
components became undetectable after 24 hours, except for gH, which was detectable up to the last
time point of 120 hours but which was also detectable in 2 pre-dose plasma samples. The mRNA
constructs were not measurable after maximum 3 days in tissues other than the muscle, lymph nodes,
and spleen (~25 hours in brain).

Reference with regards to the mRNA biodistribution is made to the respective adverse findings
observed in rat spleens in toxicological studies. No adverse findings were detected in the
ophthalmological examinations or the brain/CNS.

No dedicated studies on absorption, metabolism, and excretion for mRNA-1273 have been submitted.
This is generally acceptable with regards to the nature of the vaccine product.

2.3.4. Toxicology

The applicant submitted product specific and non-product specific studies; the latter studies were
conducted with mRNA vaccine candidates that are based on the same LNP-technology as applied in
mRNA-1273.

Repeat dose toxicity

The following seven repeated dose toxicity studies were submitted:

- Study 2308-123: Non-GLP compliant study examining the repeated dose toxicology of mRNA-1273;

- Study 5002045: GLP-compliant study examining the repeated dose toxicology of mRNA-1706, a LNP
product containing mRNA that encodes the pre-membrane and envelope structural proteins of Zika
virus;

- Study 5002231: GLP-compliant study examining the repeated dose toxicology of mRNA-1706, an LNP
product containing mRNA that encodes encoding the prME structural proteins of Zika virus;

- Study 5002033: GLP-compliant study examining the repeated dose toxicology of mRNA-1653, a
mRNA vaccine product containing 2 distinct mRNA sequences that encode the full-length membrane-
bound fusion proteins of human metapneumovirus and parainfluenza virus type 3;

- Study 5002400: GLP-compliant study examining the repeated dose toxicology of mRNA-1893, a LNP-
mRNA vaccine candidate that encodes the prME structural proteins of Zika virus;

- Study 5002034: GLP-compliant study examining the repeated dose toxicology of mRNA-1647, a LNP
product containing an equal fraction of 6 mRNAs which encode the full-length cytomegalovirus
glycoprotein B (gB) and the pentameric gH/gL/UL128/UL130/UL131A glycoprotein complex;

- Study 5002158: GLP-compliant study examining the repeated dose toxicology of mRNA-1443, a LNP
product containing a single mRNA sequence that encodes for a phosphorylation mutant of the CMV
phosphoprotein 65 protein.

In all studies the control group was treated with Phosphate-buffered Saline (PBS).

The product-specific Study 2308-123 was not conducted in GLP-compliance, and exhibits major
procedural/methodological limitations. In principle these aspects would render this study inadequate
for evaluating the repeated dose toxicity of mRNA-1273 to the extent recommended in relevant
guidance on non-clinical development of vaccine products. However, as no clear differences in toxicity

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are observed between study 2308-123 and the repeated dose toxicity studies conducted with other
LNP-mRNA products, the latter studies are considered sufficient to support clinical development and
MAA.

The six submitted non-product-specific (but LNP-specific) repeated dose toxicity studies were
conducted in GLP-compliance and meet the recommended criteria set out by relevant guidelines.
Considering that the translated antigens of the evaluated mRNA-products are expected to elicit similar
immunologic reactions, and considering that all these products are based on the same LNP technology,
the extent of the submitted repeated dose toxicity programme is deemed acceptable. In the light of
this statement, the GLP and procedural/methodological limitations of study 2308-123 are accepted.

In all studies, at least 2 - 4 doses of the product were applied to male and female Sprague Dawely rats
(n = 5 per group and sex in Study 2308-123, n = 10 per group and sex in the other studies) by
intramuscular administration, dosing ranged from 9 to 150 μg mRNA/dose. Apart from study 2308-123
in which only in-life endpoints, haematology and binding antibodies were analysed, clinical endpoints,
ophthalmology examinations, clinical pathology parameters (haematology, coagulation, and clinical
chemistry), post-mortem examinations (necropsy, histo(path)ology), neutralising antibodies and
cytokine analysis (usually different interleukins, interferon gamma, acute-phase proteins) were
generally assessed in the remaining studies. Reversibility of effects was generally studied after a two
weeks recovery period.

In general, the repeated dose toxicology of the tested products proved to be quite similar among the
studies, supporting that observed toxicities were not product specific, but rather caused by the
immunologic responses towards the translated antigens, and potentially by a contribution of the novel
LNP formulation. Test article-related adverse effects were observed at all tested concentrations, dose-
dependency was frequently observed.

The following test-article related observations were generally noted in the submitted rat toxicity:

Test article-related in-life observations observed at ≥9 µg/dose included reversible or reversing

erythema and oedema at the injection site and transient increase in body temperature at 6 hours post-
dose returning to baseline 24 hours post-dose.

Haematology changes included increase in white blood cells, neutrophils, and eosinophils and
decreased lymphocytes; coagulation changes included increase in fibrinogen and activated partial
thromboplastin time; and clinical chemistry changes included decrease in albumin, increase in globulin,
and a corresponding decrease in albumin/globulin ratio. Clinical pathology changes generally reversed
or were reversing by the end of the 2-week recovery period.

Test article-related transient cytokine increases were observed at ≥9µg/dose at 6 hours post-dose
including IFN-γ-induced protein-10, monocyte chemoattractant protein, and macrophage inflammatory
protein 1 α. Cytokine changes were generally reversing by the end of the 2-week recovery period.

Post-mortem test article-related and generally dose-dependent changes in organ weights and
macroscopic and microscopic findings were observed at ≥9 µg/dose. Organ weight increases were
observed in the spleen, liver, and adrenal gland. Organ weight changes were generally reversing by
the end of the 2-week recovery period. Macroscopic changes included skin thickening at the injection
site and enlarged lymph nodes. Injection site changes completely recovered, and lymph node changes
were recovering by the end of the 2-week recovery period. Microscopic changes included mixed cell
inflammation at the injection site; increased cellularity and mixed cell inflammation in the inguinal,
iliac, and popliteal lymph nodes; decreased cellularity in the splenic periartiolar lymphoid sheath;
increased myeloid cellularity in the bone marrow; and hepatocyte vacuolation and Kupffer cell
hypertrophy in the liver. Microscopic changes were generally reversing by the end of the 2-week
recovery period.

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Genotoxicity

mRNA-1273 contains natural nucleosides and lipid nanoparticles. The applicant submitted genotoxicity
data to evaluate the genotoxic potential of the novel excipient SM-102 as well as the final vaccine
formulation. The other lipid components contained in the final formulation, i.e. PEG2000-DMG, DSPC
and cholesterol, were not separately tested but are contained in the formulation tested in the in vivo
genotoxicity studies, which is acceptable. DSPC and cholesterol do not raise any concern in terms of
genotoxic potential.

SM-102 was tested for its genotoxic potential in study 9601567 in a bacterial reverse mutation test in
Salmonella typhimurium and Escherichia coli. Results did not indicate any evidence of genotoxic
activity in this in vitro mutagenicity assay. SM-102 did not show any evidence of genotoxic activity in
the conducted in vitro mammalian cell micronucleus test in human peripheral blood lymphocytes
(Study 9601567). No cytotoxicity was observed in this assay. Both assays were performed in
compliance with GLP.

In in vivo genotoxicity testing, NPI luciferase mRNA in SM-102-containing LNPs was determined to be
negative (non-clastogenic) after a single dose of 0.32/6.0, 1.07/20, or 3.21/60 mg/kg NPI luciferase
mRNA/SM-102 in Sprague Dawley rats. A statistically significant decrease in PCEs (polychromatic
erythrocyte) was observed in the low dose 0.32/6.0 mg/kg NPI luciferase mRNA/SM-102 in the male
group only (male and female were tested in separate groups) at the 48-hour time point. This effect did
not show dose dependency and after 24 hours was no longer evident.

Increases in cytokines IL-6, MCP-1, MIP-1α, and IP-10 were observed in this study 6 hours after IV
administration of 1.07/20 mg/kg and 3.21/60 mg/kg NPI luciferase mRNA/SM-102, respectively.
Reference in this regard is made to the nonclinical pharmacology section, dealing with cytokine release
after the intramuscular administration of clinically relevant doses of mRNA-1273 to NHP.

Another GLP-compliant in vivo micronucleus study in rat was performed with mRNA-1706 in SM-102-
containing lipid nanoparticles using IV administration. In this study statistically significant increases in
micronucleated erythrocytes were reported in both sexes. A strong increase in Molecular initiating
event (MIE) was observed 48 hours after the final administration in the highest dose group in male
rats (mRNA-1706: 4.0/5.2 mg/kg; SM-102: 54.1 mg/kg). No clear dose-response relationship was
reported.

With regards to the positive findings observed in in vivo micronucleus assays, ICH S2(R1) states that
in this case ‘all the toxicological data should be evaluated to determine whether a non-genotoxic effect
could be the cause or a contributing factor’. In the toxicological studies conducted in rat, various non-
genotoxic effects that could impact on the increase of micronucleated erythrocytes in this species were
observed: hyperthermia, disturbance of erythropoiesis (lower reticulocyte count, higher red blood cell
distribution width) and increase and inflammation of the spleen, which could affect clearance of
micronucleated cells from the blood.

Carcinogenicity

No carcinogenicity studies were submitted. This is scientifically acceptable and in line with relevant
guidelines on non-clinical development of vaccine candidates. The components of the vaccine
formulation are lipids and natural nucleosides that are not expected to have carcinogenic potential.

Reproduction Toxicity

A GLP-compliant reproductive and developmental toxicology (DART) study with mRNA-1273 has been
conducted in female Sprague Dawley CD rats.

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IM administrations of mRNA-1273 to female SD 1 rats at the human clinical dose, twice before mating
and twice during gestation, was associated with non-adverse effects including thin fur cover, swollen
hindlimbs and limited usage of the hindlimb. However, there were no mRNA-1273-related effects on
female fertility, embryo-foetal or post-natal survival, growth or development in the F1 offspring. The
mRNA-1273-related non-adverse effects were limited to an increase in the number of foetuses with
common skeletal variations of 1 or more rib nodules and 1 or more wavy ribs, with no effect on the
viability and growth on the F1 generation pups.

In this study, no vaccine dose was administered during the early organogenesis, to address the direct
embryotoxic effect of the components of the vaccine formulation. However, such a risk is considered
low in humans, given the non-live organism nature of mRNA-1273 and the low risk of genotoxic effect
of SM-102-containing LNP in humans. The overall pregnancy index was numerically lower in mRNA-
1273 vaccinated female rats (84.1%), compared to control animals (93.2%), but remains within the
Test Facility’s historical control range (low range being 75%).

Apart from that, no consistent adversities were observed in the male and female reproductive tracts of
Sprague Dawley rats during macroscopic and microscopic investigation in the frame of the submitted
repeated dose toxicity studies.

Local Tolerance

No stand-alone local tolerance studies were submitted. This is acceptable and in line with relevant
guidance on non-clinical vaccine development since local tolerance was evaluated in repeated dose
toxicity studies.

In these studies, administration of LNP-mRNA products proved to induce local irritancy and
inflammation. These effects can be related to an immunologic response towards the administered
mRNA-1273 at and in the vicinity of the injection site, the former being the desired pharmacological
mode of action of mRNA-1273. However, the observed local inflammatory response towards LNP-
mRNA injection in rats was not only noted in the direct vicinity of the injection site, but also in adjacent
tissues and/or organs. For example, subcutaneous tissue, the dermis, epidermis, skeletal muscle (with
myofiber degradation), perineurial tissue surrounding the sciatic nerve, and draining lymph nodes in
proximity to the injection site were commonly affected by inflammation after LNP-mRNA
administration.

2.3.5. Ecotoxicity/environmental risk assessment

In accordance with the CHMP Guideline on the Environmental Risk Assessment of Medicinal Products
for Human Use (EMEA/CHMP/SWP/4447100), due to their nature vaccines and lipids are unlikely to
result in a significant risk to the environment. Therefore, environmental risk assessment studies are
not provided in this Application for Marketing Authorisation, which is considered acceptable.

2.3.6. Discussion on non-clinical aspects

Pharmacology

The nonclinical proof-of-concept studies included evaluation of immunogenicity and protective activity
of mRNA-1273 in young and aged mice, Syrian golden hamsters and nonhuman primate (rhesus
macaques). The potential risk for VAED in these animal models was also assessed.

In each animal model, IM administration of mRNA-1273 at clinically relevant dose(s) elicited robust
SARS-CoV-2 S-2P-binding and neutralising antibody titres. Concurrent measurement of the cellular
response in the immunised mice and nonhuman primates showed induction of a Th1-directed T-cell

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response characterised by IFN-g, IL-2 and TNF-a, and additionally IL-21-producing follicular helper T
(Tfh) cells in nonhuman primates. Dose-response relationship was established both for the binding and
neutralising titres in both species, and for the CD4+ Th1-directed T cells and IL-21-producing Tfh cells
in nonhuman primates.

In challenge protection studies, the immunised animals were challenged with mouse adapted SARS-
CoV-2 virus (IN, 103 PFU for aged mice, 105 PFU for young mice) or wild-type SARS-CoV-2 virus (IT
and IN, 7.6x105 PFU for nonhuman primates; IN, 105 PFU for hamsters). In aged mice, 1 µg dose of
mRNA-1273 on prime-boost schedule completely protected mice from virus replication in the lungs, at
Days 2 and 4 post-challenge, as well as preventing body weight loss at Day 4 post-challenge. Full
protection against lung inflammation was also evidenced. The 0.1 µg dose conferred partial protection,
consistent with a lower immune response compared to the 1 µg dose group. In young mice, 1 or 10 µg
dose of mRNA-1273 conferred complete protection from virus replication in the lungs at Day 2 post-
challenge, with 0.1 µg dose conferring partial protection. In this model, a clear effect on lung
histopathology was evidenced even for the 0.1 µg and 0.01 µg doses. In hamsters, mRNA-1273
administration at 1, 5, or 25μg on a prime-boost schedule conferred clear protection from body weight
loss and viral infection in the lungs and nasal turbinate, generally consistent with the lung pathological
changes.

Regarding challenge-protection studies in nonhuman primates, IM administration of mRNA-1273 at 30

µg dose on a prime-boost schedule or 100 µg dose on a prime-only schedule, in one study, conferred
complete protection from virus replication in the lungs, at Day 2 post-challenge. The 2.5 µg prime-
boost dose provided partial protection, consistent with suboptimal immune responses. In another
study, 100 µg of mRNA-1273 on a prime-boost schedule completely protected animals from virus
replication in the lungs at Day 4 post-challenge. Breakthrough virus replication in the lungs was
detected in some mRNA-1273 vaccinated animals, however, lung histopathology analyses of these
animals did not reveal a sign of enhanced lung inflammation or of disease enhancement risk of mRNA-
1273.

In conclusion, robust proof-of concept data have been submitted and the potential risk of mRNA-1273-
associated disease enhancement has been appropriately addressed and no risk identified.

Biodistribution

The evaluation of mRNA-1273 tissue distribution was based on a rat biodistribution study using a
similar mRNA-based vaccine encoding CMV antigens (mRNA-1647). The non-GLP status and no
inclusion of female rats do not qualify this study as pivotal, which is not considered critical, given the
general acceptance of platform approach for evaluating the toxicology profile of mRNA-1273.

Following single IM injection at 100 µg mRNA-1647, the plasma and tissue pharmacokinetics and tissue
distribution were assessed in blood and a pre-specified set of organs/tissues for a period of 120 hours.
A qualified branched DNA (bDNA) multiplex method was used.

As expected, mRNA-1647 were distributed throughout the body (including brain, heart, lung, eye,
testis), and were rapidly cleared from plasma during the first 24 hours, with the T1/2 estimated in a
range from 2.7 to 3.8 hours. The highest mRNA-1647 concentrations were at the injection site.
Following plasma clearance, proximal and distal lymph nodes and spleen are the major distant organs
to which mRNA-1647 distributes. For these highly exposed tissues, Cmax was between 2 and 24 hours
post-dose, and T1/2 was 14.9 hours for muscle of site of injection, 34.8 hours for proximal lymph
nodes, 31.1 hours for distal lymph nodes, and 63.0 hours for spleen. Liver distribution of mRNA-1647
was also evident, consistent with the recognised LNP distribution pattern.

In summary, the data are useful for understanding the tissue distribution pattern of mRNA-1273. Only
a relatively small fraction of the administered mRNA-1647 dose distributed to distant tissues, and the

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mRNA constructs did not persist past 1 to 3 days in tissues other than the injection site, lymph nodes,
and spleen.

Distribution, metabolism, and PK of the novel lipid component SM-102 have not been extensively
studied in dedicated studies. However, data with SM-86, a close structural analogue, have been
generated. These data show consistent biodistribution compared to the mRNA administered with the
LNP. Furthermore, efficient metabolisation via ester hydrolysis and rapid elimination of the remaining
aliphatic acid head group via biliary and renal clearance were reported. Quantitative Whole-Body
Autoradiography (QWBA) confirmed the biodistribution of SM-86 and revealed no persistence of the
lipid component in any tissue beyond 168 hours. Because of the reported structural similarity between
SM-86 and SM-102, it is assumed that SM-102 will distribute similarly and will be efficiently and rapidly
metabolised and eliminated via biliary and renal routes.

SM-102 pharmacokinetics after IV administration of similar PEG2000-DMG containing LNPs were

determined to be very similar to those parameters observed for SM-86. Altogether, these data do not
suggest accumulation of SM-102 upon repeated dosing.

Toxicology

During the assessment of the submitted toxicology studies of mRNA-1273, the following observations
were made from the repeated dose toxicity:

Alterations in erythropoiesis such as a decrease in mean reticulocyte count and increase in red cell
distribution width were observed in most of the submitted rat repeated dose toxicity studies.
Furthermore, in the mRNA-1273-specific study 2308-123, a decrease of RBC mass (erythrocytes,
haemoglobin, and/or haematocrit) were noted. Such alterations can – in principle – be correlated to
infections and associated inflammations, and therefore can presumable be related to inflammatory
responses after LNP-mRNA product administrations in rats. The potential clinical relevance is not
known however these findings were reversible.

Among the submitted rat toxicity studies, hepatic alterations (increased liver weights, hepatocytic
vacuolation, hypertrophy of Kupffer-cells, centrilobular degeneration characterised by presence of
mixed inflammatory cell in sinusoids with single cell necrosis or degeneration of hepatocytes) and
corresponding changes in clinical chemistry (statistically significant increases in AST, ALP, triglyceride,
cholesterol, bilirubin, urea nitrogen) were frequently -but not consistently- observed. It is possible that
the inconsistent changes observed in the liver of rats are not a direct result of LNP-mRNA
administration, but rather secondary to the systemic inflammation observed following LNP-mRNA
administration.

Throughout the repeated dose toxicity studies, increases in eosinophil counts (up to 6.5-fold compared
to the control groups) were consistently observed in the haematology samples taken after the last
booster administrations. The absolute eosinophil counts observed in LNP-mRNA studies reached values
that would be classified as eosinophilia in patients: in humans, eosinophilia starts when absolute EOS
counts exceed 450-500 cells µL-1 (Ramirez et al. 2018). In study 5002034, the mean female EOS
count of the highest dose group (100 µg mRNA/dose) was 451 cells µL-1, with the highest individual
EOS count being 1020 cells µL-1 in animal No. 4507. Increased eosinophil counts can be correlated
with diseases such as IgE-mediated type-1 allergy, in which peripheral eosinophils are increased as a
consequence of the late-phase allergic reaction, and asthma. The observed eosinophil increase in rat
LNP-mRNA studies could therefore be potentially clinically relevant. Considering these aspects, this
finding is included in the SmPC under 5.3, however, it is noted that its toxicological potential to
humans is low.

Decreasing lymphocyte counts (up to more than a factor of 4 relative to control groups) were
consistently observed after LNP-mRNA vaccine administration throughout the submitted rat toxicity

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studies. Furthermore, histological investigations demonstrated test-article related minimal to mild
decreased lymphoid cellularity and/or single cell necrosis of lymphocytes in the spleen (periarteriolar
sheath), mesenteric lymph nodes (paracortex) and in the thymus (cortexin) in some of the submitted
studies. Based on available literature, these findings are presumably caused by test-article related
severe stress, originating from the intense inflammatory response after mRNA-1273 administration to
rats.

Throughout the rat repeated dose toxicity studies, increases in activated partial thromboplastin time
(APTT, up to ~30%) and fibrinogen (up to ~2.5-fold) were consistently observed. These haemostatic
alterations could potentially be clinically relevant and were therefore mentioned in section 5.3 of the
SmPC. However, the toxicological potential of these rat findings is low for humans.

A significant increase of plasma potassium (up to 20%) was observed in most of the submitted
repeated dose toxicity rat studies. However, the observed increases in plasma potassium levels in the
submitted rat GLP repeated dose toxicity studies are consistent with biologic variability in rats, and
were reversed or were reversing after recovery, and were not considered test-item related by the
study director and/or clinical pathologist. Furthermore, the magnitude of the observed alterations is
not of relevance in susceptible patients suffering from hyperkalaemia and/or cardiac morbidities.

In different rat toxicity studies, splenic alterations and/or splenic toxicity were consistently observed.
These alterations ranged from splenomegaly (significant weight increases were frequently observed
throughout all test-article groups), decreased cellularity of the periarteriolar lymphoid sheath,
increased cellularity of macrophages (e.g. in red pulp), neutrophilic infiltration in the red pulp, single
cell necrosis of lymphocytes in the spleen (periarteriolar sheath), and increased extramedullary
haematopoiesis. Furthermore, LNP-mRNA accumulation in the spleen was observed in the submitted
PK rat study 5002121. The observed spleen changes were minimal and caused by a transient systemic
inflammatory response to LNP administration and/or to the expected compensatory response.
Furthermore all the splenic changes fully resolved or were resolving following a 2-week recovery
period. Because of these aspects, it is considered that the observed spleen findings could only bear
limited relevance for humans.

In different rat repeated dose toxicity studies, statistically significant adrenal gland alterations were
observed, which ranged from increased organ weights to dose-dependent minimal cortical
hypertrophy. As these findings generally resolved after recovery and were only inconsistently observed
among the submitted rat toxicity studies, no concern arises from this finding.

Generally, local inflammatory response towards LNP-mRNA injection in rat repeated dose toxicity
studies was not only observed in the direct vicinity of the injection site, but also in adjacent tissues
and/or organs. For example, subcutaneous tissue, the dermis, epidermis, skeletal muscle (with
myofiber degradation), perineurial tissue surrounding the sciatic nerve, and draining lymph nodes in
proximity to the injection site were commonly affected by inflammation after LNP-mRNA
administration. The observed spread of inflammation into adjacent tissues of the injection site was in
part due to the large difference in body surface area between rats and humans, and that the dose
volume administered resulted in higher concentration of drug product at the site of injection in rats
compared to humans. Considering this aspect, the applicant calculated a safety margin of ~ 375.
Therefore, it is considered that these severe local inflammations bear no clinical relevance.

With regards to the submitted genotoxicity studies, the administered mRNA/SM-102 concentrations in
the positive genotoxicity study were much higher than the actual concentrations in the clinical setting
(>27mg/kg SM-102). The vaccine will be administered two times only, and a low dose containing
around 1 mg SM-102 per dose will be administered at the proposed posology. Moreover, a different
route of administration was used in the micronucleus study compared to the intended clinical route (IV
vs. IM), and thus significantly lower systemic exposure to the individual excipients can be expected in

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the clinical setting. The SM-102 specific in vitro bacterial reverse mutation test and in vitro mammalian
cell micronucleus test in human peripheral blood lymphocytes did not indicate any genotoxic potential
for this novel excipient. Taking all these data together, a relevant genotoxic risk is thus not expected
for mRNA-1273.

A GLP-compliant reproductive and developmental toxicology (DART) study with mRNA-1273 has been
conducted in female Sprague Dawley CD rats.

There were no mRNA-1273-related effects on female fertility, embryo-foetal or post-natal survival,

growth or development in the F1 offspring. The mRNA-1273-related non-adverse effects vs control
group treated with Tris/Sucrose were limited to an increase in the number of foetuses with common
skeletal variations of 1 or more rib nodules and 1 or more wavy ribs, with no effect on the viability and
growth on the F1 generation pups.

In this study, no vaccine dose was administered during early organogenesis, to address the direct
embryotoxic effect of the components of the vaccine formulation. However, such a risk is considered
low in humans, given the non-live organism nature of mRNA-1273 and the low risk of genotoxic effect
of SM-102-containing LNP in humans. A significantly lower pregnancy index (68.2%) was observed in
the natural delivery group only and was ascribed to random distribution of pregnant and non-pregnant
animals between the c-section and natural delivery cohorts. The overall pregnancy index was
numerically lower in mRNA-1273 vaccinated female rats (84.1%), compared to control animals
(93.2%), but remained within the Test Facility’s historical control range (low range being 75%). In
summary, no mRNA-1273 related effect on pregnancy is expected from these data.

Although maternal-to-foetal and maternal-to pup transfer of antibodies was observed, no data are
available on vaccine placental transfer or excretion in milk.

2.3.7. Conclusion on the non-clinical aspects

No major non-clinical issues are identified in this application. A range of other concerns identified have
been properly addressed by the applicant.

The CHMP is of the view that non-clinical data reveal no special hazard for humans based on
conventional studies of repeat dose toxicity and reproductive and developmental toxicity.

2.4. Clinical aspects

2.4.1. Introduction

A dose-ranging Phase 1 safety and immunogenicity study (20-0003); a dose-confirmation Phase 2a

safety and immunogenicity study (mRNA-1273-P201); and a pivotal Phase 3 efficacy, safety, and
immunogenicity study (mRNA-1273-P301) are ongoing (see the below tabular overview of clinical
studies). No clinical studies with mRNA-1273 have been completed at the time this report was written.

• GCP

The applicant claimed that the clinical trials included in the application were performed in accordance
with GCP.

The applicant has provided a statement to the effect that clinical trials conducted outside the
Community were carried out in accordance with the ethical standards of Directive 2001/20/EC.

In addition, to seek further reassurance of the GCP compliance of the studies included in this dossier,
in the context of the COVID-19 pandemic and under the framework of the EMA-FDA GCP initiative,
EMA gathered additional information from the USA Regulatory Authority, US-Food and Drug

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Administration (US-FDA) and shared the outcome of the GCP inspections performed by US-FDA with
the CHMP, in order for this information to be considered in the assessment:

• Establishment Inspection Reports from GCP inspections performed by US-FDA of nine

investigator sites in USA for study mRNA-1273-P301 “A Phase 3, Randomized, Stratified,
Observer-Blind, Placebo-Controlled Study to Evaluate the Efficacy, Safety, and Immunogenicity
of mRNA-1273 SARS-CoV-2 Vaccine in Adults Aged 18 Years and Older”.

Based on the review of clinical data, the above-mentioned reports and the general advisory input from
the COVID-19 EMA pandemic Task Force (ETF), a GCP inspection of the clinical trials included in this
dossier was not considered necessary by the CHMP.

• Tabular overview of clinical studies

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Table 2 Overview of ongoing clinical studies

Study Key Efficacy and Key Safety Objectives Age Groups (years) Study Design Vaccine Data Snapshot*
Number Immunogenicity / Dose Dose and
(Country)/ Objectives (Planned Schedule
Status Participants)

20-0003 • Immunogenicity of Safety and reactogenicity Age Groups: Phase 1, 10, 25, 50, 100, Immuno g e nicity :
(USA)/ mRNA-1273 measured of 4 dose levels of 18 to 55 (n=75), open-label, or 250 µg Day 119c
Ongoing by IgG bAb levels to mRNA-1273 vaccine: 56 to 70 (n=40), dose mRNA-1273
SARS-CoV-2 spike ranging Safety:
• Frequency and grade ≥71 (n=40) 2 IM injections, 07 Oct 2020
protein and the
of each solicited local 28 days apart
receptor binding mRNA-1273
and systemic
domain (secondary) Dose Groups:
reactogenicity AE
• Immunogenicity of during a 7-day 10 µg (n=15) a,
mRNA-1273 measured follow-up period post 25 µg (n=35),
by nAb levels against each vaccination 50 µg (n=35),
SARS-CoV-2 (primary) 100 µg (n=35),
pseudovirus and wild- • Frequency and grade 250 µg (n=35) b
type virus of any unsolicited AEs
(exploratory) during the 28-day
• The SARS-CoV-2 follow-up period post
protein-specific T-cell each vaccination
responses in a subset (primary)
of participants • Frequency of SAEs,
(exploratory) NOCMCs, and MAAEs
from Day 1 to Day 394
(primary)

Abbreviations: AE = adverse event; AR = adverse reaction; IM = intramuscular; MAAE = medically attended adverse event; NOCMC = new onset of chronic medical condition;
SAE = serious adverse event.
a In Study DMID 20-0003, Cohort 13 (10 µg, 18-55 years, n=15) was not enrolled.
b In Study DMID 20-0003, dosing at the 250-µg level was discontinued after Cohort 3 (18-55 years, n=15) and prior to enrolment in Cohorts 6 (56-70 years, n=10) and 9 (≥71
years, n=10).
c Day 57 post-vaccination for participants who received the 50-µg dose.
* Additional data will be provided as it accumulates.

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 Study Key Efficacy and Key Safety Objectives Age Groups (years) Study Design Vaccine Data Snapshot*
Number Immunogenicity / Dose Dose and
(Country)/ Objectives (Planned Schedule
Status Participants)

mRNA- • Immunogenicity of 2 dose Safety and reactogenicity Age Groups: Phase 2a, 50 or 100 µg Immuno g e nicity :
1273-P201 levels of mRNA-1273 as of 2 dose levels of Cohort 1: randomised, mRNA-1273 or Day 57
(USA)/ assessed by the level of mRNA-1273 vaccine: observ e r- blind, placebo
≥18 to <55 Safety
Ongoing specific binding antibody and placebo-
• Solicited local and (n=300) 2 IM injections, Day 57
(primary) controlled
systemic ARs through 28 days apart
• Immunogenicity of 2 dose 7 days after each Cohort 2:
levels of mRNA-1273 as injection (primary) ≥55 (n=300)
assessed by the titer of • Unsolicited AEs Dose Groups:
neutralising antibody
through 28 days Placebo (n=200)
(secondary) after each injection
(primary) mRNA-1273 dose
groups:
50 µg (n=200),
100 µg (n=200)
• MAAEs through the
entire study period
(primary)
• SAEs throughout the
entire study period
(primary)

• Safety laboratory
abnormalities at
Day 29 and Day 57
(Cohort 2 only;
≥55 years of age)
(primary)

• Vital sign
measurements and
physical examination
findings (primary)

*Additional data will be provided as it accumulates.

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 Study Key Efficacy and Key Safety Objectives Age Groups (years) Study Design Vaccine Data Snapshot*
Number Immunogenicity / Dose (Planned Dose and
(Country)/ Objectives Participants) Schedule
Status

mRNA- • Efficacy of mRNA- Safety and reactogenicity Age Groups: Phase 3, 100 µg Data snapshot 1
1273-P301 1273 to prevent of mRNA-1273 vaccine: 18+ (n=30000) randomised, mRNA-1273 or date: 11 Nov 2020
(USA)/ COVID-19 (primary) stratified, placebo (data cut-off: IA1
• Solicited local and Dose Groups:
Ongoing observ e r- blind, efficacy 07 Nov
• Efficacy of mRNA- systemic ARs through 2 IM injections,
Placebo (n=15000) placebo- 2020
1273 to prevent 7 days after each 28 days apart
severe COVID-19 mRNA-1273 100 µg controlled Safety set 11 Nov
injection (primary)
(secondary) (n=15000) 2020)
• Unsolicited AEs
• Efficacy of mRNA- through 28 days Stratification:
1273 to prevent after each injection Data snapshot 2
Age and, if they are
COVID-19 regardless (primary) date: 25 Nov 2020
<65 years of age,
of prior SARS-CoV-2 • MAAEs or AEs leading based on the presence (data cut-off: final
infection (secondary)
to withdrawal through or absence of risk efficacy analysis 21
• Efficacy of mRNA- the entire study factors for severe Nov 2020
1273 to prevent period (primary) illness from COVID-19 safety set 25 Nov
SARS-CoV-2 infection based on CDC
• SAEs throughout the 2020)
or COVID-19 recommendation as of
entire study period
regardless of Mar 2020
(primary)
symptomatology or Immunogenicity:
severity (secondary) • Pregnancies and
Not yet included in
perinatal
application
outcomes
(primary)

* Additional data will be provided as it accumulates.

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2.4.2. Clinical Pharmacology

For vaccines, pharmacokinetics is not applicable, and pharmacodynamics relates to investigation of

immunogenicity. Immunogenicity was evaluated by assessing changes from baseline in SARS-CoV-2-
specific binding antibodies (bAb) levels and neutralising antibody (nAb) titres.

Mechanism of action

COVID-19 Vaccine Moderna contains mRNA encapsulated in lipid nanoparticles. The mRNA encodes for
the full-length SARS-CoV-2 spike protein modified with 2 proline substitutions within the heptad repeat
1 domain (S-2P) to stabilise the spike protein into a prefusion conformation. After intramuscular
injection, cells at the injection site and the draining lymph nodes take up the lipid nanoparticle,
effectively delivering the mRNA sequence into cells for translation into viral protein. The mRNA delivery
system is based on the principle and observation that cells in vivo can take up mRNA, translate it, and
express viral protein antigen(s) in the desired conformation. The delivered mRNA does not enter the
cellular nucleus or interact with the genome, is non-replicating, and is expressed transiently mainly by
dendritic cells and subcapsular sinus macrophages. The protein undergoes post-translational
modification and trafficking resulting in properly folded, fully functional Spike protein that is inserted
into the cellular membrane of the expressing cell(s). The expressed, membrane-bound spike protein of
SARS-CoV-2 is then recognised by immune cells as a foreign antigen. This elicits both T-cell and B-cell
responses to generate functional neutralising antibodies, which may contribute to protection against
COVID-19.

Immunogenicity studies

The immunogenicity data available so far were generated from one phase 1 and one 2a study
conducted in the USA. No immunogenicity data from Phase 3 are available for assessment at the time
this report was written. No study reports are yet available for this application. Immunogenicity data
were mainly presented in listings, tables and figures.

Assays

Across the Phase 1, 2, and 3 studies, ELISA is being used to measure vaccine-induced binding IgG
antibodies to the SARS-CoV-2 spike protein and, in some cases, to specific domains of the protein,
(i.e., the RBD of the spike protein). Multiple assays are being used to measure the titres of nAbs. In
Study 20-0003, vaccine-induced neutralising activity was assessed by PsVNA (performed at the NIAID
Vaccine Research Center, USA) and by live wild-type SARS-CoV-2 virus PRNT assay (performed at the
Vanderbilt University Medical Center, USA). These experimental assays were developed using a fit-for-
purpose approach.

Assays used in later phases followed more typical qualification and validation paths. A qualified MN
assay (performed by Battelle) and qualified ELISAs (performed by PPD) were used to test samples
from Study mRNA-1273-P201. A panel of validated assays will be used to assess immunogenicity in
Study mRNA-1273-P301.

In addition, in Study 20-0003, convalescent sera obtained from 41 patients who recovered from SARS-
CoV-2 infection were used during assay development to generate a relative benchmark (based on
levels elicited by natural infection).

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To address concerns about the theoretical risk of enhanced disease after injection with mRNA-1273, an
additional series of in vitro studies were performed using peripheral blood mononuclear cells isolated
from participants in Study 20-0003. The induction of a Th2-directed response has been linked to ERD,
as seen in vaccines for other respiratory virus infections, in particular, formalin-inactivated respiratory
syncytial virus vaccine (Kim et al 1969; Haynes et al 2020). In animal models of vaccine-induced
immunity against other coronaviruses, specifically MERS and SARS-CoV-1, a Th1-directed immune
response has been correlated with a lack of ERD immunopathology (Grifoni et al 2020; Peng et al
2020; Sekine et al 2020; Weiskopf et al 2020). Activated CD4+ T cells can be segregated into Th1-
and Th2-directed responses based on the production of specific cytokines; therefore, ICS assays were
used to evaluate CD4+ and CD8+ T-cell responses elicited by the mRNA-1273 vaccine in clinical
samples.

An assessment of the assay qualification parameters and assay conduct led to the conclusion that the
main assays used in the phase 2 study are acceptable (ELISA for determination of binding antibodies,
the pseudovirus neutralisation assay and the cytokine stimulation assay). Formal qualification reports
are requested to be submitted as part of the final clinical study report, which is the subject of a specific
obligation.

Phase 1 (study 20-003)

This study is a phase 1, open-label, dose-ranging study of the safety and immunogenicity of mRNA-
1273 in healthy adults (3 age cohorts: 18-54 yrs, 55-70 yrs, ≥71 yrs).

Table 3 – Overview of Study 20-003

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Figure 4 - Study 101 Design

In the phase 1 study 120 participants were enrolled and assigned to different treatment groups as
depicted in the table below.

Assays used

• IgG ELISA to the SARS-CoV-2 S (spike) protein and receptor binding domain (RBD);

• Neutralisation assay using a SARS-CoV-2 pseudovirus (pseudovirus neutralisation assay;

PsVNA);

• Neutralisation assay using a live wild-type SARS-CoV-2 (plaque reduction neutralisation test;
PRNT); strain: SARS-CoV-2/human/USA/USA-WA1/2020 (GenBank: MN985325.1);

• Neutralisation assay using a live wild-type SARS-CoV-2 (focus reduction neutralisation test;
FRNT-mNG); strain: SARS-CoV-2/human/USA/USA-WA1/2020 (GenBank: MN985325.1);

• Intracellular cytokine stimulation assay (T cell response).

Results

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Binding and neutralising antibody responses (secondary and exploratory objectives, respectively)

Kinetics of antibody titres binding to SARS-CoV-2 S protein in sera of subjects vaccinated with mRNA-
1273 are shown in Figure 5. The spike seen after day 29 coincides with the evaluation after the
second vaccination.

Figure 5 – Serum IgG ELISA Area Under the Curve (AUC) values by time points and
vaccination group – S-2P

Table 4 below shows GMT results across age strata for the relevant 100 µg mRNA-1273 dose.

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Table 4– Serum IgG ELISA Endpoint Titre Geometric Mean Results with 95% confidence
intervals by time point and vaccination group in Study 20-003 – Spike stabilised antigen (S-
2P) – All age group 100 µg mRNA-1273

Kinetics of pseudovirus neutralisation titres in sera of subjects dosed with mRNA-1273 are shown in
Figure 6 (across age strata and dose levels). The spike seen after day 29 coincides with the evaluation
after the second vaccination.

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Figure 6 – Pseudovirus Neutralisation Assay titres by time point and vaccination group -
ID50

Figure 7 below shows pseudovirus neutralisation assay titres distribution by time point and dose level
for the 18-55 YOA cohort. Similar kinetics (for the evaluated 50 and 100 µg mRNA-1273-dose) were
seen for the other cohorts.

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Figure 7– Pseudovirus Neutralisation assay titres distribution by time point and treatment
group – ID50 – Age 18-55

Plaque reduction neutralisation and focus reduction neutralisation (assays employing live virus) across
age cohorts are shown in the figures below (for the 100 µg mRNA-1273 dose).

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Figure 8 - Plaque Reduction Neutralisation Test titres distribution by time point and
treatment group – PRNT80

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Figure 9 - FRNT-mNG titres distribution by time point and treatment group -ID80

Cell mediated immunity (exploratory objective)

Cell mediated immunity was evaluated by intracellular cytokine staining in T cells isolated from
vaccinated subjects (stimulated with SARS-CoV-2 S protein peptide pools). Data were presented from
subjects vaccinated with the 25 µg or 100 µg mRNA-1273 dose. The figure below shows the
percentages of CD4 T cells expressing Th1 cytokines upon stimulation with the S1 peptide pool (similar
results for S2 peptide pool stimulation).

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Figure 10 – Percentages pf CD4 T Cells expressing Th1 cytokines S1 peptide pool

The figure below shows the percentages of CD4 T cells expressing Th2 cytokines upon stimulation with
the S1 peptide pool (100 µg dose only; similar results for 25 µg dose and S2 peptide pool stimulation).

The figures below show the percentages of CD8 T cells expressing cytokines upon stimulation with the
S1 or S2 peptide pool.

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Figure 11 – Percentage of CD8 T Cells expressing cytokines S1 peptide pool

Figure 12 – Percentages of CD8 T cells expressing cytokines S2 peptide pool

In summary, the results of Phase 1 Study 20-0003 showed a consistent dose response across age
groups by several measures of humoral immunogenicity for both binding and neutralising antibodies.
Taking forward the 100 µg dose (administered as 2 injections, 28 days apart) to Phase 2a and 3
studies was based on several observations: (i) 2 injections of 100 µg stimulated serum bAb
concentrations and titres greater than 2 injections of 25 μg in the 18 to 55 years of age stratum; (ii) 2
injections of 100µg induced nAb responses (measured by PsVNA) similar to those measured in
recipients of the 250µg dose in the 18 to 55 years or age subjects evaluated; and (iii) 2 injections of
100µg led to a lower incidence of reactogenicity than 2 injections of 250µg (Jackson et al N Engl J Med.
2020; Anderson et al N Engl J Med. 2020). The 50µg dose induced comparable humoral immune
responses to the 100ug dose (data for the 50µg dose available until day 57).

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Phase 2a (Study mRNA-1273-P201)

This is a Phase 2a, randomised, observer-blind, placebo-controlled, dose-confirmation study to

evaluate the safety, reactogenicity, and immunogenicity of mRNA-1273 in adults aged 18 years and
older (18-54 yrs, ≥55 yrs).

Table 5 - Overview of Study mRNA-1273-P201

Figure 13 – Study 201 Design

Assays used

• IgG ELISA to the SARS-CoV-2 S (spike) protein (different assay compared to Phase 1)

• Microneutralisation assay using a live wild-type SARS-CoV-2 (USA/USA-WA1/2020)

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Results

Binding and neutralising antibody responses (primary and secondary objectives, respectively)

The figures and table below summarise binding antibody titres (GMT) induced by mRNA-1273
vaccination (50 or 100 µg evaluated in strata 18-54 YOA and ≥55 YOA). The spike seen after day 29
coincides with the evaluation after the second vaccination.

Figure 14 – Cohort 1 (≥18 and ≤55 years) Antibody: VAC58 Spike IgG antibody (µg/ml)
(LLOQ: 3.9, ULOQ: 487)

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Figure 15– Cohort 2 (≥55 years) Antibody: VAC58 Spike IgG Antibody (µg/ml) (LLOQ: 3.9,
ULOQ: 487)

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Table 6 – Summary of binding antibody levels Per-Protocol Set for SARS-CoV-2 specific bAb;
Antibody: VAC58 Spike antibody (µg/ml) (LLOQ: 3.9, ULOQ: 487)

The figures and table below summarise neutralising antibody titres (MN50 and MN endpoint,
respectively) induced by mRNA-1273 vaccination (50 or 100 µg evaluated in strata 18-54 YOA and
≥55 YOA). The spike seen after day 29 coincides with the evaluation after the second vaccination.

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Figure 16 – Cohort 1 (≥18 and ≤55 years) Antibody: MN50

Figure 17 - Cohort 2 (≥55 years) Antibody: MN50

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Table 7 – Summary of neutralising antibody titres Per-Protocol Set for SARS-CoV-2 specific
nAb from the first lot; Antibody: MN endpoint titre

In summary, participants in Phase 2a who received 2 doses of either 50 or 100μg of mRNA-1273

separated by 28 days developed both binding and neutralising antibodies against SARS-CoV-2, with
GMFRs > 20-fold (bAb) and > 50-fold (MN assay), regardless of dose level. These data support dose
selection in principle because of the magnitude of the antibody response to 2 doses of mRNA-1273
even if the differentiation between 50μg and 100μg is close to negligible. Responses and dynamics
observed across age cohorts was comparable.

Cell mediated immunity

Not investigated in Phase 2a.

2.4.3. Discussion on clinical pharmacology

The proposed mechanism of action of mRNA-1273 is 1) uptake of the lipid nanoparticles by antigen
presenting cells through endocytic pathways both at the site of injection and in the draining lymph
nodes, 2) release of mRNA (encoding modified SARS-CoV-2 S protein) into the cell, 3) S protein
expression (mainly by dendritic cells and subcapsular sinus macrophages) and 4) stimulation of
immune responses against SARS-CoV-2 S-2P protein to provide protection against COVID-19.

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The clinical development includes immunogenicity assessments across the entire clinical study program
i.e., Phase 1, 2a and 3 studies.

Phase 1 Study 20-003 is an open-label, dose-ranging study of the safety and immunogenicity of
mRNA-1273 in healthy adults (3 age cohorts: 18-54 yrs, 55-70 yrs, ≥71 yrs). Phase 2a Study mRNA-
1272-P201 is a randomised, observer-blind, placebo-controlled, dose-confirmation study to evaluate
the safety, reactogenicity and immunogenicity of mRNA-1273 in adults aged 18 years and older (2 age
cohorts: 18-54 yrs, ≥55 yrs). Phase 3 study mRNA- 1273-P301 is a, randomised, stratified, observer-
blind, placebo-controlled study to evaluate the safety, efficacy and immunogenicity of mRNA-1273 in
adults aged 18 years and older.

The designs of all three clinical studies are adequate for characterising humoral immune response after
mRNA-1273 vaccination across relevant age strata. Characterisation of cellular immune responses is
only foreseen in the phase 1 study, which is considered a shortcoming particularly for the limited study
size. The phase 2a study design includes two age strata, 18-54 yrs and ≥55 yrs, which might not allow
an adequate characterisation of the humoral immune response in the older age groups (e.g. 65-74
year olds, ≥75 year olds), most vulnerable to COVID-19 and known to produce a reduced immune
response upon vaccination.

Results for several pre-specified immunogenicity endpoints in both Phase 1 and Phase 2a studies have
not been provided (such as immunoglobulin subclass analyses, binding to neutralising antibody ratios,
or B cell epitope characterisation). No immunogenicity data from the phase 3 study were available for
assessment at the time this report was written. The data cut-off was day 119 post-vaccination for
Phase 1, and day 57 for post-vaccination for Phase 2. This means that immunokinetics over time and
correlate of protection/ risk could not be characterised. This is acceptable for the time being, but these
data should be provided with final CSRs.

Study endpoints (across studies) relevant to induction of humoral immunity induced by mRNA-1273
are mainly based on S protein binding and neutralising antibodies, measured by ELISA or (pseudo)
virus neutralisation assays, respectively. All applied immunogenicity assays are adequate for
determination of immunological endpoints relating to humoral immune response, albeit final validation
reports have not been provided for all assays and are expected to be submitted once available. The
use of different assays in Phase 1 and 2 limits comparability between studies, but the approach used is
acceptable. Sampling schedules are appropriate to determine humoral kinetics (including peak
responses as well as decay) and for investigating short-, mid- and long-term outcomes.

Immunogenicity assessments are based on a total of 116 subjects in Phase 1 (across 25-250 µg doses)
and 587 subjects in Phase 2a (198, 195 and 194 subjects received 100μg, 50μg or placebo,
respectively), who received both the first and second dose of mRNA-1273.

Evaluation of humoral immune response to mRNA-1273 in Phase 1 and 2a studies was based on a very
limited number of SARS-CoV-2 strains and/ or pseudoviruses (mainly based on the initial Wuhan
isolate), which is understood in the context of the pandemic with rapidly emerging strains.
Importantly, neutralising activity induced by mRNA-1273 vaccination against the currently dominant
D614G variant strain was confirmed. Plans for further evaluation of new strain variants were outlined
during evaluation and are supported. The applicant confirmed that immune responses against strains
such as A222V-D614G (EU1), a S447N-D614G (EU2) variant, a N439K-D614G variant, the mink
adapted strain recently identified in Denmark as well as relevant new and emerging S protein variants
(library of pseudoviruses) will be closely monitored in vaccinees sera (derived from both humans and
animals). Deep sequencing of virus breakthrough cases is planned in the vaccine and placebo groups
of the ongoing phase 3 trial to identify any potential gap in protection against mutant strains. New viral
variant challenge stocks are being prepared, and once available will be used to challenge animals

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vaccinated with mRNA-1273 to directly assess the ability of mRNA-1273 to protect animals from these
variant strains.

The initial dose-ranging and clinical proof-of-concept in phase 1 study showed dose-dependent
increases in binding and neutralising antibodies when comparing the lowest dose 25 µg to the 50µg
dose. When comparing the 50 µg to the 100µg dose, differences were less pronounced. The 250µg
dose was only tested in the 18-55 yrs. age group and not further pursued due to reactogenicity. The
50 µg and 100 µg dose were further evaluated in the phase 2a study, where comparable results were
obtained, indicating a rather flat dose-response. Even though the 50µg compared to the 100µg dose
does not show pronounced differences, 100 µg has been chosen because of comparable and acceptable
reactogenicity and slightly higher immunogenicity. In addition, 100 µg may exert more sustainable
kinetics of immune responses in the long term (putative at present). Overall, the selection of the
100µg dose for the phase 3 trial is reasonable and supported.

In both Phase 1 and 2a studies the humoral immune response in terms of induction of antibodies
binding the S protein (full protein and RBD) and virus neutralising antibodies showed that two mRNA-
1273 doses given 4 weeks apart resulted in substantially increased geometric mean titres (GMTs) if
compared to responses after only the first dose across all age strata tested. While binding antibody
levels generally started to rise after the first vaccination (day 15), this was not seen for neutralising
responses which were only induced after the second vaccination. These results support the need of a
second dose.

Human convalescent sera from up to 41 individuals recovered from mostly mild COVID-19 were
routinely used as comparators in the Phase 1 study. mRNA-1273-induced humoral immune responses
were generally within the upper range or above those measured in the convalescent comparator sera.
It is noted, however, that mild disease has been associated with lower antibody levels. Moreover,
convalescent sera were collected between 23-54 (median 34) days post-diagnosis which likely does not
reflect peak antibody responses. While humoral response is generally reassuring as regards proof of
concept, its magnitude and kinetics need to be interpreted with caution in the context of a currently
unknown immune correlate of protection. Peak GMTs (binding and neutralising) across age groups and
clinical trials were generally seen 7-14 days after the second vaccination (day 36-43). Decreases in
GMTs became apparent soon thereafter and were reported until day 57 in the phase 2 and day 119 in
the phase 1 study. Of note, despite decreases in GMTs over time, levels in the majority of participants
were generally sustained within the upper range or above GMTs of human convalescent comparator
sera. This is preliminarily reassuring as regards antibody persistence over time.

GMTs of S protein binding antibodies in the elderly (≥71 years of age) vaccinated in the phase 1 study
with the 100µg mRNA-1273 dose were higher compared to the younger participants, while neutralising
responses were generally comparable between age cohorts or superior in the younger participants.
However, this finding on binding antibodies was not replicated in the larger phase 2a study. Upon
request, the applicant provided more granular data by age for the Phase 2a study, even though the
study was not powered for age subgroup. Peak median/mean binding antibody titres (day 43) induced
by the 100 µg mRNA-1273 dose in the 18-54 YOA stratum were approximately 1.2-fold, 1.5-fold and
1.9-fold higher compared to the 55-64-year olds, 65-74-year olds and ≥75-year olds, respectively.
Therefore, binding antibody levels declined in an age-dependent manner as expected, with more
comparable neutralising activity across strata.

Cellular immune responses (T cell cytokine response) were only investigated in phase 1 until day 43
after the first vaccination (i.e. 14 days after the second vaccination). Analysis plans for phase 2a and
phase 3 do not outline any further investigations on this important aspect likely contributing to
protection against SARS-CoV-2. Data from phase 1 point towards a general Th1 over Th2 dominant

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response indicative of a favourable cytokine profile as regards the theoretical risk of vaccine dependent
enhancement of disease (VAED). However, it is noted that shortcomings in assay conduct, lack of
reporting of Th2 controls and overall heterogeneous results do not permit to finally conclude on this.
Likewise, it was not convincingly demonstrated whether CD8 T cell responses were induced by
vaccination with mRNA-1273 in humans. Therefore, cellular immune response to mRNA-1273
vaccination is not considered comprehensively characterised. This limitation however does not prevent
to conclude on a positive benefit/risk assessment as it is not expected to substantially change the
outcome, considering that no VAED signals were observed in pre-clinical studies and in phase 3 study
efficacy and safety data so far.

Immunogenicity data from Phase 3, once available, are expected to fill the current knowledge gaps on
humoral immunity in subgroups with various comorbidities (e.g. diabetes, overweight,
immunocompromised individuals etc.) and provide further information as to the impact of
immunosenescence.

Immune responses in mRNA-1273 vaccinated patients who develop COVID-19 will be of relevance to
furthering the understanding of immunity against SARS-CoV-2 as well as investigations towards an
immune correlate of protection. Plans for establishing an immune correlate of protection seem to be
based solely on humoral and not cellular responses, which is considered a shortcoming, but will likely
expand the knowledge on antibody-mediated immunity against SARS-CoV-2. Of note, the Analysis Plan
for immunogenicity data, including the sampling for the immunogenicity subset, is currently missing
and will need to account for the study design changes in P301 introduced with Protocol Amendment 6.
Focus should be on data analysis plans for the exploration of correlate of protection.

Longer-term data on humoral immunity are expected to emerge from all three clinical trials, which will
inform on antibody kinetics beyond 3 months post-vaccination.

2.4.4. Conclusions on clinical pharmacology

While the overall dose-response towards mRNA-1273 in phase 1 and phase 2a clinical studies was
rather flat, both the choice of the 100µg mRNA-1273 dose and the 2-dose schedule is deemed
reasonable and acceptable by the CHMP. Proof-of-concept has been established.

Interpretation of immunogenicity results in terms of vaccine efficacy is limited as currently no immune

correlate of protection against COVID-19 exists. In addition, no immunogenicity data from phase 3 are
currently available. Notwithstanding, based on prior experience with vaccines, the data received so far
from Phase 1 and 2a are considered reassuring.

The current gaps in understanding of the immune response against SARS-CoV-2 induced by mRNA-
1273 vaccination mainly relate to the following aspects:

• No plans for establishing an immune correlate of protection/risk have been provided.

• No data on immunogenicity in certain subgroups (e.g. at-risk groups, immunocompromised,

mRNA-1273-vaccinated individuals who develop COVID-19, etc.) have been generated.

• No data for several pre-specified immunogenicity objectives from Phase 1 and 2a have been
provided (such as immunoglobulin subclass analyses, binding to neutralising antibody ratios, or
B cell epitope characterisation).

• The data on immune responses in the elderly is currently based on observations from the
Phase 1 and Phase 2a studies and thus derived from a limited number of subjects. Therefore,

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 final conclusions on immunogenicity for this most vulnerable populations cannot be drawn at
this time.

• The current understanding of humoral immune response towards mRNA-1273 vaccination is

based on a limited dataset of up to 3 months after the second vaccination. Mid-and long-term
data are important to inform on the need for and timing of further boosters to achieve long-
lasting protection.

• The level of protection conferred by mRNA-1273 against different SARS-CoV-2 variants is

currently limited to a small number of strains. The applicant’s proposal to monitor clinically
relevant and emerging SARS-CoV-2 strains by testing both sera from vaccinated animals and
human trial participants in functional in vitro assays as well as conducting challenge/protection
studies in animals is endorsed and data should be submitted as soon as available.

Final clinical study reports are expected to generate the data needed to address the remaining points
mentioned above. The final clinical study report of the pivotal phase 3 study should be submitted as a
specific obligation in the context of the conditional marketing authorisation by December 2022.

The final clinical study reports for the phase 1 and phase 2 studies are required to be submitted as
reflected in the RMP (respectively by November 2021 and November 2022).

Some of the above-mentioned data are however required as soon as available (see list of
recommendations in Annex I).

2.5. Clinical efficacy

2.5.1. Dose response study(ies)

See section 2.4.

2.5.2. Main study

Title of study P301

A Phase 3, Randomized, Stratified, Observer-Blind, Placebo-Controlled Study to Evaluate the Efficacy,

Safety, and Immunogenicity of mRNA-1273 SARS-CoV-2 Vaccine in Adults Aged 18 Years and Older
(P301).

Methods

Study Participants

Key Inclusion Criteria

• Adults, ≥18 years of age at time of consent, who are at high risk of SARS-CoV-2 infection,
defined as adults whose locations or circumstances put them at appreciable risk of exposure to
SARS-CoV-2 and COVID-19.

• Female participants of non-childbearing potential and female participants of childbearing

potential who fulfil the following criteria:

− Has a negative pregnancy test at Screening and on the day of the first dose (Day 1).

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 − Has practiced adequate contraception or has abstained from all activities that could result
in pregnancy for at least 28 days prior to the first dose (Day 1).

− Has agreed to continue adequate contraception through 3 months following the second
dose (Day 29).

− Is not currently breastfeeding.

• Healthy adults or adults with pre-existing medical conditions who are in stable condition. A
stable medical condition is defined as disease not requiring significant change in therapy or
hospitalisation for worsening disease during the 3 months before enrolment.

Key Exclusion Criteria

• The subject is acutely ill or febrile (≥ 38.0°C/100.4°F) 72 hours prior to or at Screening.

• The subject is pregnant or breastfeeding.

• Known history of SARS-CoV-2 infection

• Prior administration of an investigational coronavirus (SARS-CoV, MERS-CoV) vaccine or

current/planned simultaneous participation in another interventional study to prevent or treat
COVID-19.

• Known or suspected allergy or history of anaphylaxis, urticaria, or other significant adverse

reaction to the vaccine or its excipients.

• Immunosuppressive or immunodeficient state, asplenia, recurrent severe infections. HIV

positive participants on stable antiretroviral therapy were permitted.

• The subject has received systemic immunoglobulins or blood products within 3 months prior to
the day of screening.

• The subject has donated ≥ 450 mL of blood products within 28 days prior to Screening.

• The subject has received or plans to receive a non-study vaccine within 28 days prior to or
after any dose of IP (except for seasonal influenza vaccine which is not permitted within 14
days before or after any dose of IP).

The protocol further required that at least 25% of enrolled participants be either ≥ 65 years of age or
< 65 years of age and at risk for severe COVID-19. Participants were considered at risk for severe
COVID-19 illness if they had at least one of the following:

• Chronic lung disease (e.g., emphysema and chronic bronchitis, idiopathic pulmonary fibrosis,
and cystic fibrosis) or moderate to severe asthma;

• Significant cardiac disease (e.g., heart failure, coronary artery disease, congenital heart
disease, cardiomyopathies, and pulmonary hypertension);

• Severe obesity (body mass index ≥ 40 kg/m 2);

• Diabetes (Type 1, Type 2 or gestational);

• Liver disease;

• Human Immunodeficiency Virus (HIV) infection.

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Treatments

The mRNA-1273 vaccine is a lipid nanoparticle (LNP) dispersion of 100 µg mRNA encoding the pre-
fusion stabilised S protein of SARS-CoV-2 formulated in LNPs composed of 4 lipids: lipid SM-102,
cholesterol, 1,2-distearoyl-sn-glycero-3-phosphocholine (DSPC), and 1-
monomethoxypolyethyleneglycol-2,3-dimyristylglycerol with polyethylene glycol of average molecular
weight 2000 (PEG2000-DMG). mRNA-1273 Injection is provided as a sterile liquid for injection, white
to off white dispersion in appearance, at a concentration of 0.5 mg/mL in Tris buffer containing sucrose
and sodium acetate at pH 7.5.

The placebo is 0.9% sodium chloride (normal saline) injection, United States Pharmacopeia (USP).

Study participants received two doses of either the vaccine mRNA-1273 or placebo intramuscularly 28
days apart. The window for receiving the second dose was defined between 24-35 days following the
first dose. At the time of definition of major protocol deviations, which was to happen before
unblinding, the acceptable visit window was widened to 21 – 42 days (-7/+14 days around day 28).

Objectives

Study objectives (see below) are appropriate. It is noted that for several of them no outcome data
were provided as part of this submission.

Primary Objectives

• To demonstrate the efficacy of mRNA-1273 to prevent COVID-19.

• To evaluate the safety and reactogenicity of 2 injections of the mRNA-1273 vaccine given 28
days apart.

Secondary objectives

• To evaluate the efficacy of mRNA-1273 to prevent severe COVID-19.

• To evaluate the efficacy of mRNA-1273 to prevent serologically confirmed SARS-CoV-2

infection or COVID-19 regardless of symptomatology or severity. (no data available)

• To evaluate vaccine efficacy (VE) against a secondary definition of COVID-19.

• To evaluate VE to prevent death caused by COVID-19.

• To evaluate the efficacy of mRNA-1273 to prevent COVID-19 after the first dose of
investigational product (IP).

• To evaluate the efficacy of mRNA-1273 to prevent COVID-19 in all study participants,

regardless of evidence of prior SARS-CoV-2 infection.

• To evaluate the efficacy of mRNA-1273 to prevent asymptomatic SARS-CoV-2 infection. (no

data available)

Exploratory

• To evaluate the effect of mRNA-1273 on the viral infection kinetics as measured by viral load
at SARS-CoV-2 infection diagnosis by RT-PCR and number of days from the estimated date of
SARS-CoV-2 infection until undetectable SARS-CoV-2 infection by RT-PCR. (no data available)

• To assess VE to reduce the duration of symptoms of COVID-19. (no data available)

• To evaluate VE against all-cause mortality.

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 • To assess VE against burden of disease (BOD) due to COVID-19. (no data available)

• To evaluate the genetic and/or phenotypic relationships of isolated SARS-CoV-2 strains to the
vaccine sequence. (no data available)

• To evaluate immune response markers after dosing with IP as correlates of risk of COVID-19
and as correlates of risk of SARS-CoV-2 infection. (no data available)

• To conduct additional analyses related to furthering the understanding of SARS-CoV-2 infection

and COVID-19, including analyses related to the immunology of this or other vaccines,
detection of viral infection, and clinical conduct. (no data available)

Outcomes/endpoints

Efficacy endpoints

Endpoint Statistical Analysis Methods

Primary endpoint:
Vaccine efficacy (VE) of mRNA- • The primary endpoint analysis included cases starting 14 days after the
1273 to prevent the first second injection in the PP Set, as adjudicated by an independent
occurrence of COVID-19 in adjudication committee that was blinded to vaccine group assignment.
baseline seronegative VE was to be estimated with 1 - HR (mRNA-1273 vs. placebo) using a
participants Cox proportional hazard regression model with treatment group as a
fixed effect and adjust for stratification factor based on the PP Set.
• Analysis using the same model based on the mITT Set.
• Sensitivity analysis using the same model based on the PP Set, with
cases counted starting either immediately after the second dose of IP or
immediately after the first dose of IP.
• Subgroup analysis of the primary efficacy endpoint will be performed to
assess consistency of VE, such as in the age groups ≥ 18 and < 65
years and ≥ 65 years.
• Supportive analysis of VE to be estimated with 1 - ratio of incidence
rates with 95% confidence interval (CI) using the exact method
conditional upon the total number of cases.
• Supportive analysis of cumulative incidence VE

Secondary endpoints:
• Vaccine efficacy of mRNA- • Similar analysis method as for the primary endpoint analysis.
1273 to prevent severe
• For each of the secondary endpoints:
COVID-19
− Primary analysis: VE will be estimated with 1 - HR
(mRNA-1273 vs placebo) using a Cox proportional hazard
• Vaccine efficacy of mRNA- regression model with treatment group as a fixed effect and
1273 to prevent serologically adjusting for stratification factor based on the PP Set, with cases
confirmed SARS‑CoV‑2 counted starting 14 days after the second dose of IP.
infection or COVID‑19 − Analysis using the same model based on the mITT Set.
regardless of
symptomatology or severity • Supplementary analyses with cases counted starting immediately
after the second dose of IP, 14 days after the first dose of IP,
• Vaccine efficacy of mRNA- immediately after the first dose of IP, and immediately after
randomisation.
1273 to prevent COVID-19
using a secondary definition • Vaccine efficacy and 95% CI based on the case incidence will be
of symptoms estimated with 1 - ratio of incidence rates using the exact method
conditional upon the total number of cases.
• Vaccine efficacy of mRNA-
1273 to prevent death
caused by COVID-19

• Vaccine efficacy of mRNA-

1273 to prevent COVID-19
after the first dose of IP

• Vaccine efficacy of mRNA-

1273 to prevent
asymptomatic SARS-CoV-2
infection

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• Vaccine efficacy of mRNA- • The FAS population will be used for this secondary objective, using
1273 to prevent COVID-19 in similar analysis methods as for the primary endpoint analysis.
all study participants, • Primary analysis: VE will be estimated with 1 - HR
regardless of evidence of (mRNA-1273 vs placebo) using a Cox proportional hazard regression
prior SARS-CoV-2 infection model with treatment group as a fixed effect and adjusting for
stratification factor based on the FAS, with cases counted starting 14
days after the second dose of IP.
• Sensitivity analyses with cases counted starting immediately after the
second dose of IP, 14 days after the first dose of IP, immediately after
the first dose of IP, and immediately after randomisation.

Safety endpoints

Safety and reactogenicity will be assessed by clinical review of all relevant parameters including
solicited ARs (local and systemic events), unsolicited AEs, SAEs, MAAEs, AEs leading to discontinuation,
abnormal vital signs, and physical examination findings.

All safety analyses will be based on the Safety Set, except summaries of solicited ARs, which will be
based on the Solicited Safety Set. All safety analyses will be provided by treatment group unless
otherwise specified. The number and percentage of participants with any solicited local AR, with any
solicited systemic AR, and with any solicited AR during the 7-day follow-up period after each injection
will be provided. A 2-sided 95% exact CI using the Clopper-Pearson method will be also provided for
the percentage of participants with any solicited AR for each treatment group.

The number and percentage of participants with solicited ARs, unsolicited AEs, SAEs, MAAEs, Grade 3
or higher ARs and AEs, and AEs leading to discontinuation from study vaccine or participation in the
study will be summarised. Unsolicited AE will be presented by MedDRA preferred term and system
organ class.

For all other safety parameters, descriptive summary statistics will be provided.

Methods used for efficacy evaluations

Primary Efficacy Endpoint Assessment:

To be considered as a case of COVID-19 for the evaluation of the Primary Efficacy Endpoint, the
following criteria must be met:

The participant must have experienced at least two of the following systemic symptoms:

Fever (≥38ºC), chills, myalgia, headache, sore throat, new olfactory and taste disorder(s),

OR

The participant must have experienced at least one of the following respiratory signs/symptoms:
cough, shortness of breath or difficulty breathing, OR clinical or radiographical evidence of
pneumonia;

AND

The participant must have at least one NP swab, nasal swab, or saliva sample (or respiratory
sample, if hospitalised) positive for SARS-CoV-2 by RT-PCR.

Secondary Efficacy Endpoint Assessments:

To be considered a severe COVID-19 case, the following criteria must be met: a confirmed COVID-
19 as per the Primary Efficacy Endpoint case definition, plus any of the following:

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• Clinical signs indicative of severe systemic illness, Respiratory Rate ≥30 per minute, Heart Rate
≥125 beats per minute, SpO2 ≤93% on room air at sea level or PaO2/FIO2 <300 mm Hg, OR

• Respiratory failure or Acute Respiratory Distress Syndrome (ARDS), (defined as needing high-flow
oxygen, non-invasive or mechanical ventilation, or ECMO), evidence of shock (systolic blood
pressure < 90 mmHg, diastolic BP < 60 mmHg or requiring vasopressors), OR

• Significant acute renal, hepatic or neurologic dysfunction, OR

• Admission to an intensive care unit or death.

An alternative less stringent case definition of COVID-19 was used for secondary analyses requiring
any of the systemic symptoms: fever (temperature ≥38ºC) or chills, cough, shortness of breath or
difficulty breathing, fatigue, muscle aches or body aches, headache, new loss of taste or smell, sore
throat, nasal congestion or rhinorrhoea, nausea or vomiting or diarrhoea,

AND

a positive NP swab, nasal swab, or saliva sample (or respiratory sample, if hospitalised) for SARS-CoV-
2 by RT-PCR.

Death attributed to COVID-19 is defined as any participant who dies during the study with a cause
directly attributed to a complication of COVID-19.

Asymptomatic SARS-CoV-2 infection is determined by seroconversion due to infection assessed by

bAb levels against SARS-CoV-2 as measured by a ligand-binding assay specific to the SARS-CoV-2
nucleocapsid protein and a negative NP swab sample for SARS-CoV-2 at Day 1.

SARS-CoV-2 Infection is defined as:

SARS-CoV-2 infection by seroconversion due to infection measured by bAb against SARS-CoV-2

nucleocapsid. Seroconversion is defined differently for participants seronegative at Baseline and
seropositive at Baseline:

• Participants seronegative at Baseline: bAb levels against SARS-CoV-2 nucleocapsid either from
below the limit of detection (LOD) or lower limit of quantification (LLOQ) at Study Day 1 that
increase to above or equal to LOD or LLOQ starting at Study Day 57 or later.

• Participants seropositive at Baseline: bAb levels against SARS-CoV-2 nucleocapsid above the
LOD or LLOQ at study Day 1 that increase by 4-fold or more in participants starting at Study
Day 57 or later.

Surveillance for COVID-19 Symptoms

Surveillance for COVID-19 symptoms was conducted via weekly telephone calls or eDiary starting after
enrolment and throughout the study. If there is no response to an eDiary prompt for 2 days, the site
staff should contact the study participant by phone.

To screen for COVID-19 occurring, pre-specified symptoms were elicited weekly from the participant
and the presence of any one of these symptoms lasting at least 48 hours (except for fever and/or
respiratory symptoms) shall result in the site arranging an Illness Visit to collect an NP swab within 72
hours. All study participants who experience COVID-19 symptoms and subsequently present for an
Illness Visit (in-clinic or at home) will be given instructions and material to record disease course
during the convalescent period, i.e. severity grading system, thermometer, oxygen saturation monitor,
and saliva collection tubes.

Case adjudication

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Ambiguous in terms of study protocol/SAP specifications, efficacy results based on adjudicated cases
have been presented as primary in this submission. Whereas including a blinded adjudication
committee (AC) for COVID-19 cases was devised in the protocol, this was not reflected in the analysis
plan. Adjudication criteria and re-adjudications performed have only been roughly described upon
request. This can be accepted but some residual uncertainty remains as regards involvement and
procedures of AC and case-related information flow involving study site personnel, sponsor, CRO and
AC up to a final decision. Adjudicated and unadjudicated analyses have therefore been considered
during assessment of main efficacy endpoints for robustness.

Assays used for efficacy assessment

• RT- PCR

The RT-PCR assay used is a real-time reverse transcription polymerase chain reaction (RT-PCR) to
confirm SARS-CoV-2 in probable COVID-19 individuals and is performed by the Viracor Eurofins Clinical
Diagnostics, which is a Clinical Laboratory Improvement Amendments of 1988 (CLIA), a certified high-
complexity laboratory.

The RT-PCR is intended for the qualitative detection of SARS-CoV-2 viral RNA in nasopharyngeal swab,
nasal swab, nasopharyngeal wash, nasal wash, oropharyngeal swab and bronchoalveolar lavage from
individuals suspected of COVID-19. It is approved for use under the Food and Drug Administration's
Emergency Use Authorisation for in vitro diagnostics. Detailed information on the conduct of the RT
PCR assay and the interpretation of results was provided. The SARS-CoV-2 primer and probe sets are
designed to detect RNA from SARS-CoV-2 in respiratory specimens from patients as recommended for
testing by public health authority guidelines. The chosen primer design is acceptable.

Validation data include various protocols and validation results for extraction PCR performance and
stability of test samples using different matrices (swabs and saliva). Overall, the results indicate that
the test method is acceptably validated.

• SARS-CoV-2 nucleocapsid protein specific IgG ELISA– PPD Laboratories

Serum will be tested using the ligand-binding assay specific to the SARS-CoV-2 nucleocapsid to
determine the immunologic status of study participants at baseline and assess for seroconversion due
to infection during the course of the study.

The ELISA for the Detection of IgG Specific to SARS-CoV-2 Nucleocapsid Protein in Human Serum was
developed, qualified and validated by PPD Laboratories, in Richmond, Virginia, USA. This assay is
employed to confirm asymptomatic infections of SARS-CoV-2 in study participants during the course of
the study in participants RT-PCR negative at baseline.

Assay validation covered the quantifiable range (LLOQ to ULOQ), the limit of detection (LOD), precision
and ruggedness, dilutional linearity, selectivity, specificity, and relative accuracy of the SARS CoV-2 N
proteins. Validity of an assay run and individual test samples within an assay run were determined.

Selectivity was tested by spiking experiments employing reference material. During assay validation
LOD of 4.8 AU/ml was confirmed, and the LLOQ was 9 AU/ml and all pre-defined acceptance criteria
were met. Due to the expected depletion of the coating antigen used in the ELISA a new lot (Lot
#053020) was qualified.

Of note, the assay was not tested for selectivity as regards the capability to differentiate between
SARS-CoV-2 and other circulating human coronaviruses.

• Elecsys Anti-SARS-CoV-2 (N) immunoassay, Roche

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Elecsys anti-SARS-CoV-2 (N) immunoassay is an automated commercially available antibody-based
electrochemiluminescence assay employing recombinant derived nucleocapsid-(N-)-protein to measure
antibodies directed against SARS-CoV-2. The assay is intended to confirm asymptomatic SARS-CoV-2
infections in study participants as it is capable to determine whether a vaccinated subject was exposed
to natural infection.

According to the applicant the Roche Elecsys anti-N assay will be used in study P301 for the detection
of seroconversion. For those that are seropositive at baseline, the Anti-N ELISA is used for generating
the data to calculate the fold-rise. The serological (Dx) data will be available for all participants, and
the anti-N fold rise data will be available for those seropositives at baseline. Baseline SARS-CoV-2
negative status requires both a negative RT-PCR test at baseline (pre-dose 1) and a negative bAb
levels against SARS-CoV-2 nucleocapsid as measured by Roche Elecsys assay.

In addition, seroconversion due to infection assessed by bAb against SARS-CoV-2 nucleocapsid protein
will be taken into considerations for two secondary efficacy endpoints:

• COVID-19 or SARS CoV-2 infection. This endpoint is a combination of COVID-19 (symptomatic,

defined as for the primary endpoint), and SARS-CoV-2 infection, determined by seroconversion
due to infection assessed by bAb levels against SARS-CoV-2 nucleocapsid protein in those who
were baseline SARS-CoV-2 negative participants. In participants who were baseline SARS-CoV-
2 negative, seroconversion will be measured by Roche Elecsys assay.

• Asymptomatic infection, defined as in the absence of symptoms, with SARS-CoV-2 infection

determined by seroconversion due to infection assessed by bAb levels against SARS-CoV-2
nucleocapsid protein in those who were baseline SARS-CoV-2 negative participants.

Validation reports were made available and confirmed high specificity without cross reactivity to other
human and endemically circulating coronaviruses (OC43, HKU1, NL63 or 229E). In addition, samples
from symptomatic patients with a RT-PCR confirmed SARS-CoV-2 infection were tested after various
time intervals during the convalescent phase. Antibodies against nucleocapsid could be detected up to
40 days after RT-PCR test negative results.

Of note, data of the above mentioned two secondary efficacy endpoints are not available yet.

Safety Assessments

Safety assessments will include monitoring and recording of the following for each participant:

• Solicited local and systemic ARs that occur during the 7 days following each injection (i.e., the
day of dosing and 6 subsequent days). Solicited ARs will be recorded daily using eDiaries.

• Unsolicited AEs observed or reported during the 28 days following each dose of IP (i.e., the
day of dosing and 27 subsequent days). Unsolicited AEs are AEs that are not included in the
protocol defined solicited ARs.

• AEs leading to discontinuation from dosing and/or study participation from Day 1 through Day
759 or withdrawal from the study.

• MAAEs from Day 1 through Day 759 or withdrawal from the study.

• SAEs from Day 1 through Day 759 or withdrawal from the study.

• Abnormal vital sign measurements.

• Physical examination findings.

• Pregnancy and accompanying outcomes.

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Sample size

The sample size was driven by the total number of cases required to demonstrate VE (mRNA-1273 vs.
placebo) to prevent COVID-19. Under the assumption of proportional hazards over time and with 1:1
randomisation of mRNA-1273 and placebo, a total of 151 COVID-19 cases were to provide 90% power
to detect a 60% reduction in hazard rate (60% VE), rejecting the null hypothesis H0: VE ≤30%, with 2
interim analyses at 35% and 70% of the target total number of cases using a 1-sided O’Brien-Fleming
boundary for efficacy and a log-rank test statistic with a 1-sided false positive error rate of 0.025.
Approximately 30,000 participants were to be randomised. It was assumed that approximately 15% of
participants were to be excluded from the PP population, and that participants were considered to be at
risk for COVID-19 starting 14 days after the second dose.

Randomisation

Participants were planned to be randomly assigned in 1:1 ratio to receive either mRNA-1273 or
placebo in a blinded manner using a centralised Interactive Response Technology (IRT). Randomisation
was stratified based on age and, if participants were < 65 years of age, based on the presence or
absence of risk factors for severe illness from COVID-19 based on CDC recommendation as of March
2020. Consequently, there were three strata for randomisation. With protocol amendment 5, at least
25% and up to 50% of enrolled participants were planned to be either ≥65 years of age or < 65 years
of age and at risk at screening.

Blinding (masking)

Up to Protocol Amendment 5, the study was an observer-blind study. The investigator, study staff,
study participants, site monitors, and Sponsor personnel (or its designees) were to be blinded to the IP
administered until study end with protocol-specified exceptions such as site personnel for vaccine
administration, site monitors, specific unblinded statisticians and programmers, and the independent
DSMB. Further personnel were to be unblinded in case criteria for efficacy were met at any of the pre-
specified analyses.

An opaque sleeve over the syringe used for injection was to maintain the blind at the time of injection,
as the doses containing mRNA-1273 look different than placebo. The vaccine was administered by
unblinded site staff while all further assessments and interactions were performed by blinded staff.
COVID-19 and severe COVID-19 cases were adjudicated by a blinded Adjudication Committee (AC).

Correctly assuming treatment allocation seems likely for those patients with pronounced and typical
reactogenicity pattern. The same concern applies for blinded study personnel accessing eCRFs. The
impact this may have had on study results, if any, cannot be estimated.

Per study protocol (up to Amendment 5) participants were to remain blinded until the end of study
visits after 25 months of enrolment. This plan was later revised to allow individual participants to be
unblinded upon request in December 2020 when all participants have reached the day 57 visit. As per
protocol amendment 6 (dated 23 Dec 2020), the applicant plans to offer unblinding to all participants
at once under the EUA authorisation. No suitable analysis plan for the unblinded study part is currently
in place (see efficacy discussion, section 2.5.3).

Statistical methods

The primary efficacy analysis set was defined as the Per Protocol set (PPS) consisting of all
randomised participants without major protocol deviations or virologic/immunologic evidence of prior
COVID-19 who received all planned doses of study medication. Supportive efficacy analyses were

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defined in the Full Analysis Set (FAS; all randomised participants with at least one study dose
regardless of previous COVID-19 infection) and the modified ITT (mITT) set (all participants in FAS
without virologic/immunologic evidence of prior COVID-19).

The primary endpoint was defined as the vaccine efficacy (VE) to prevent COVID-19 starting from 14
days after second dose. In the statistical analysis plan (SAP) it was further defined that adjudicated
cases were to be preferably used for the primary endpoint when available. In the presented primary
analysis adjudicated cases only were used. The primary endpoint was to be evaluated using Cox
proportional hazards regression with Efron's method of tie handling, stratification factors as used for
randomisation and treatment group as covariate. VE was calculated as 1 – HR (hazard rate), with a 2-
sided score-based 95% CI and 2-sided p-value for testing H0: VE≤30%. Adjusted 95% confidence
intervals taking interim analyses into account were to be provided. In the study protocol, the applicant
defined a primary estimand, which was not fully comprehensible, not well defined, and not aligned with
the primary estimate. The primary estimate was acceptable however. In the primary analysis,
participants were censored for COVID-19 cases prior to day 14 after the second dose and deaths
unrelated to COVID-19 at any time. Censoring patients from the risk set before the first countable
event apparently corresponds to an analysis excluding those participants. Furthermore, participants
who missed a dose of study treatment or who were SARS-CoV-2 positive at baseline were excluded
from the PP analysis.

To account for two interim and one final analysis after 53, 106, and 151 COVID-19 events in the
primary endpoint, a Lan-DeMets O'Brien-Fleming approximation spending function was foreseen. The
actual timing of analyses markedly deviated from the original plan. The first interim analysis was
conducted after 95 adjudicated cases, the second interim analysis was seemingly dropped, and the
final analysis was conducted after 196 adjudicated cases. Regarding the operational system in place to
monitor case-accrual during trial conduct, with focus on safeguarding trial integrity and keeping the
blind, all personnel involved in decision making regarding the trigger for the first IA were kept fully
blinded to treatment assignment. Furthermore, the severe overrunning occurred due to the speed up
of the pandemic and due to safety data requirements as set out by the FDA. While these arguments
are in principle understood, they do not explain why the interim analyses were not conducted as
scheduled. Decisions based on accruing information cannot be fully excluded. However, also given the
compelling efficacy results, the impact of the deviation from pre-planned primary efficacy evaluation
on the assessment of vaccination benefit is considered low.

In the SAP three key secondary endpoints were defined, which were to be tested at the full 2.5%
significance level if the primary endpoint was met in any of the interim or final analyses. These
endpoints were to be tested in a hierarchical pre-defined order:

1. COVID-19 regardless of evidence of prior SARS-CoV-2 infection (same follow-up period)

2. infection regardless of symptomatology or severity (same follow-up period)

3. severe COVID-19 (with ≥20 cases, otherwise to test at the end of the study)

As discussed in Hung et al. (J. Biopharm. Stat. 2007; 17:1201–1210) and Glimm et al. (Statist. Med.
2010; 29: 219-228) this procedure does not control the type 1 error in the strong sense and
substantial error inflation is possible. While formally the type 1 error of the overall study was not
controlled, no relevant impact on the primary endpoint analysis is seen.

Subgroup analyses were predefined for a range of important subgroups based on risk factors, age, sex
and race.

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Results

The first participant-first visit/dose in the study occurred on 27 July 2020, and the last participant-first
visit/dose on 23 October 2020 (enrolment completed on 23 October 2020).

There were 30,420 participants randomised, of which 30,351 (99.8%) received at least one injection.
Of the 30,351 participants who received a first injection, 29,328 (96.6%) received a second injection
by 25 November 2020. Median study duration was 92 days (range: 1-122 days) from randomisation;
median follow-up after the second dose was 63 days, i.e. 9 weeks (range: 0-97 days).

Participant flow

Recruitment

Enrolment of P301 was completed in less than 3 months on 23 October 2020 with a total of 30,420
randomised participants. The study is since ongoing. Follow-up milestones and corresponding subject
numbers are shown in the tables below:

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Table 8 – Summary of study duration Per-Protocol Set (data extraction date: 25 November
2020)

Conduct of the study

The study has gone through extensive changes. The currently available study protocol version is
Version 6, dated 23 December 2020, which details the modification of the unblinding process after EUA
authorisation in the USA. The study now consists of two parts, the blinded Part A and the unblinded
follow-up in Part B. Protocol version 4 and 5 were provided and the main amendments in the study
protocol include clarifications for safety surveillance and the aim to increase to 50% the upper limit for
stratification of enrolled participants considered “at risk” at screening. No other versions of the study
protocol were provided. Important amendments with potential implications for case
detection/adjudication were made at a time point where no biased impact on the primary efficacy
readout is assumed.

Baseline data

Study mRNA-1273-P301 was designed to evaluate the safety and efficacy of the IP in adults 18 years
of age and older who have no known history of SARS-CoV-2 infection but whose locations or
circumstances put them at appreciable risk of acquiring COVID-19 and/or SARS-CoV-2 infection.

The study planned to enrol at least 25% and up to 50% of participants most at risk for severe
complications of COVID-19, including those ≥ 65 years of age or < 65 years of age with co-morbid

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medical conditions such as diabetes mellitus (Type 1, Type 2, or gestational), significant cardiac
disease, chronic pulmonary disease, severe obesity, liver disease, and human immunodeficiency virus
infection (actual enrolment in these 2 strata was 25.3% and 16.7%, respectively). Overall, the study
included 42% of participants at high risk for severe COVID-19 (i.e., the sum of participants < 65 and
at risk and ≥65 years).

Overall, the demographic characteristics were well balanced between the study populations. Individuals
at risk of severe COVID-19, i.e. 18 to 64 years with identified risk factors such as underlying chronic
diseases, and elderly ≥65 years of age, are adequately represented and are equally distributed
between the two treatment groups according to their risk factors.

In addition, a high proportion of individuals with high risk of exposure to SARS-CoV-2 due to their
occupation such as health care and frontline workers were enrolled. The majority (25.1%) of
participants with a specified occupational risk for acquisition of SARS-CoV-2 were health care workers.

Distribution of elderly subjects over 65 years of age was well balanced between the two treatment
groups. A substantial proportion (n= 7520; ~25%) of the population in the pivotal trial P301 was aged
65 or older. Approximately 12% (n= 3722) of the total population was 65-69, about 8% (n=2398) was
aged 70-74, about 3% (n=975) was in the age range between 75 and 79, and 1.4% or 425 subjects
were 80 or older.

The percentage of participants enrolled who self-reported as Black or African American (10.2%) or
Hispanic or Latino (20.5%) approached that of the US population (US Census Bureau 2019: Black
[13.4%], Hispanic or Latino [18.5%]). Communities of colour represented 37.2% of the study
population.

Table 9 – Baseline demographic and characteristics in Study mRNA-1273-P301 (PPS, data

cut-off 21 November 2020 2)

Vaccine Group Placebo Group Total

(N=14134) (N= 14073) (N=28207)
n (%) n (%) n (%)
Sex
Female 6768 (47.9) 6611 (47.0) 13379 (47.4)
Male 7366 (52.1) 7462 (53.0) 14828 (52.6)
Age (years)
Mean (SD) 51.6 (15.44) 51.6 (15.54) 51.6 (15.49)
Median 53.0 52.0 53.0
Min, max 18, 95 18, 95 18, 95
Age – Subgroups (years)
18 to <65 10551 (74.6) 10521 (74.8) 21072 (74.7)
65 and older 3583 (25.4) 3552 (25.2) 7135 (25.3)
Race
American Indian or Alaska Native 108 (0.8) 111 (0.8) 219 (0.8)
Asian 620 (4.4) 689 (4.9) 1309 (4.6)
Black or African American 1385 (9.8) 1349 (9.6) 2734 (9.7)
Native Hawaiian or Other Pacific Islander 35 (0.2) 31 (0.2) 66 (0.2)
White 11253 (79.6) 11174 (79.4) 22427 (79.5)
Other 299 (2.1) 295 (2.1) 594 (2.1)
Ethnicity
Hispanic or Latino 2789 (19.7) 2780 (19.8) 5569 (19.7)
Not Hispanic or Latino 11212 (79.3) 11165 (79.3) 22377 (79.3)
Race and Ethnicity
Non-Hispanic White 9023 (63.8) 8916 (63.4) 17939 (63.6)
Communities of colour 5088 (36.0) 5132 (36.5) 10220 (36.2)
Occupational Risk* 11586 (82.0) 11590 (82.4) 23176 (82.2)
Healthcare worker 3593 (25.4) 3581 (25.4) 7174 (25.4)

2
Data snap shot 2 was dated 25.11.2020, however efficacy cut-off happened on 21.11.2020 and only safety cut-off was on
25.11.2020.

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 Vaccine Group Placebo Group Total
(N=14134) (N= 14073) (N=28207)
n (%) n (%) n (%)
High Risk Condition**
One high risk condition present 2616 (18.5) 2591 (18.4) 5207 (18.5)
Two or more high risk conditions present 590 (4.2) 576 (4.1) 1166 (4.1)
No high risk condition 10928 (77.3) 10906 (77.5) 21834 (77.4)
Age and Health Risk for Severe COVID-
19***
18 to <65 years and not at risk 8189 (57.9) 8200 (58.3) 16389 (58.1)
18 to <65 years and at risk 2367 (16.7) 2324 (16.5) 4691 (16.6)
≥ 65 years 3578 (25.3) 3549 (25.2) 7127 (25.3)
* Occupational risk includes: Healthcare Workers; Emergency Response; Retail/Restaurant Operations; Manufacturing and
Production; Operations, Warehouse Shipping and Fulfilment centres, Transportation and Delivery Services, Border Protection and
Military Personnel Personal care and in-home services; Hospitality and Tourism Workers, Pastoral; Social or Public Health Workers;
and Educators and Students.
** High risk for severe COVID-19 is defined as patients who meet at least one of the following criteria (protocol-defined):
• Chronic lung disease (e.g., emphysema and chronic bronchitis, idiopathic pulmonary fibrosis, and cystic fibrosis) or moderate
to severe asthma
• Significant cardiac disease (e.g., heart failure, coronary artery disease, congenital heart disease, cardiomyopathies, and
• pulmonary hypertension)
• Severe obesity (body mass index ≥ 40 kg/m2)
• Diabetes (Type 1, Type 2 or gestational)
• Liver disease
• Human immunodeficiency virus (HIV) infection
*** Age and health risk for severe COVID-19 is used as stratification factor for randomisation.

Overall, 2.2% of participants (~700) had detectable viral RNA or antibodies against SARS-CoV-2 at
baseline across both arms.

High level data on co-medication were presented upon request (not displayed here), showing largely
balanced co-medication use for the first two months of study with paracetamol and ibuprofen being the
main exceptions with a large overuse observed in the mRNA-1273 vaccine arm (i.e. double the patient
level incidence or more compared to placebo). This is likely explained by the acute AE profile of
vaccination and not related to baseline imbalances.

Numbers analysed

As of 21 November 2020, a total of 30,420 individuals were randomly assigned with 15,210 subjects
each enrolled either in the mRNA-1273 group or the placebo group. In the randomised set 15,181
(99.8%) and 15,170 (99.8%) received their first dose of either mRNA-1273 or placebo, respectively,
and 14,711 (96.7%) and 14,617 (96.1%) received their second dose of mRNA-1273 and placebo,
respectively. As the study is currently ongoing, the number of patients who received the second dose is
still expected to rise.

Table 10 - Subject Disposition - mRNA-1273-P301 as of 21 November 2020 (data cut-off)

  Vaccine Group Placebo Group Total

(N = 15210) (N = 15210) (N= 30420)
n (%) n (%) n (%)
Enrolled 15210 15210 30420
Randomised1 15210 15210 30420
Exposed 15185 15166 30351 (99.8)
Safety Set2 15185 15166 30351
Completed at least 1 month follow up 14095 (92.8) 14095 (92.9) 28190 (92.9)
after dose 1 3
Completed at least 2 months follow up 13498 (88.9) 13454 (88.7) 26952 (88.8)
after dose 1 3
Completed at least 1 month follow up 13386 (88.2) 13297 (87.7) 26683 (87.9)
after dose 2 3
Completed at least 2 months follow 8163 (53.8) 8111 (53.5) 16274 (53.6)
up after dose 2 3
Full Analysis Set1 15181 (99.8) 15170 (99.7) 330351 (99.8)

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   Vaccine Group Placebo Group Total
(N = 15210) (N = 15210) (N= 30420)
n (%) n (%) n (%)
Per Protocol Set1 14134 (92.9) 14073 (92.5) 28207 (92.7)
Completed at least 7 weeks follow up 4 13217 (93.5) 13173 (93.6) 26390 (93.6)
Completed at least 8 weeks follow up 4 12930 (91.5) 12862 (91.4) 25792 (91.4)
Completed at least 2 months follow up 4 12702 (89.9) 12605 (89.6) 25307 (89.7)
Completed at least 4 weeks follow up 12881 (91.1) 12786 (90.9) 25667 (91.0)
after dose 2 4
Completed at least 8 weeks follow up 9102 (64.4) 8987 (63.9) 18089 (64.1)
after dose 2 4
Completed at least 2 months follow up 7903 (55.9) 7849 (55.8) 15752 (55.8)
after dose 2 4
Randomised Set
Completed 1 dose 15181 (99.8) 15170 (99.7) 30351 (99.8)
Completed 2 doses 14711 (96.7) 14617 (96.1) 29328 (96.4)
Discontinued from Study 159 (1.0) 206 (1.4) 365 (1.2)
Reason for Discontinuation
Adverse Event 4 (<0.1) 1 (<0.1) 5 (<0.1)
Serious Adverse Event 9 (<0.1) 15 (<0.1) 24 (<0.1)
Death 4 (<0.1) 6 (<0.1) 10 (<0.1)
Withdrawal by Subject 85 (0.6) 146 (1.0) 231 (0.8)
Lost to Follow-up 33 (0.2) 35 (0.2) 68 (0.2)
Protocol Deviation 1 (<0.1) 0 1 (<0.1)
Physician Decision 15 (<0.1) 3 (<0.1) 18 (<0.1)
Other 14 (<0.1) 13 (<0.1) 27 (<0.1)
1
Per-Protocol Set 14134 (92.9) 14073 (92.5) 28207 (92.7)
Completed 1 dose4 14134 (100) 14073 (100) 28207 (100)
Completed 2 doses4 14104 (99.8) 14025 (99.7) 28129 (99.7)
Discontinued from Study4 36 (0.3) 51 (0.4) 87 (0.3)
4
Reason for Discontinuation
Adverse Event 0 0 0
Serious Adverse Event 0 0 0
Death 1 (<0.1) 3 (<0.1) 4 (<0.1)
Withdrawal by Subject 25 (0.2) 35 (0.2) 60 (0.2)
Lost to Follow-up 5 (<0.1) 10 (<0.1) 15 (<0.1)
Protocol Deviation 0 0 0
Physician Decision 3 (<0.1) 1 (<0.1) 4 (<0.1)
Other 2 (<0.1) 2 (<0.1) 4 (<0.1)
1
Numbers are based on planned treatment group and percentages are based on the number of randomized subjects.
2
Numbers are based on actual treatment group and percentages are based on the number of safety subjects.
3
Percentage based on number of subjects in the Safety Set.
4
Percentage based on number of subjects in the Per-Protocol Set.

Discontinuation from study for the time being is very low (1.2%) and mostly due to withdrawal by the
subject (0.8%). Only 39 subjects in total discontinued due to experience of an AE (5) or SAE (24) or
death (10). Out of 29,148 subjects randomised, 680 subjects were excluded due to laboratory
confirmed SARS-CoV-2 infection prior to dose 1, i.e. the mITT set represents 95.8% of the randomised
population. In FAS, baseline RT-PCR test results were missing in 1.2% of participant; baseline serology
as measured by SARS-CoV-2 nucleocapsid binding antibody test results were missing in 1.1% of
participants. Approximately 2.2% of participants were baseline SARS-CoV-2 positive.

Table 11 - Reason and number of subjects excluded from the Per-Protocol Set

Placebo mRNA-1273
Reasons for exclusion from Per Protocol Set
N= 15210 N= 15210

Subjects excluded from PP Set 1137 (7.5%) 1076 (7.1%)

Randomised but not received any IP 40 (0.3%) 29 (0.2%)

Baseline SARS-CoV-2 status was positive or not

572 (3.8%) 631 (4.2%)
known

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 Received IP other than what the subject was
7 (<0.1%) 6 (<0.1%)
randomised to

Discontinued study or study vaccine without

231 (1.5%) 168 (1.1%)
receiving the second dose

Did not receive second dose of IP 154 (1.0%) 138 (0.9%)

Received vaccine out of window

109 (0.7%) 93 (0.6%)

Major protocol deviation*

24 (0.2%) 11 (0.1%)
*Major protocol deviations other than the categories listed earlier in the table:
• Inclusion criteria not met, but subject randomised
• Exclusion criteria met, but subject randomised
• Study treatment impacted by a temperature excursion which was not reported or approved or which was
disapproved for further use
• Prohibited concomitant medication or vaccine received by subject

Outcomes and estimation

Two analyses of efficacy were performed: an interim analysis based on data snapshot 1 (11 November
2020; cut-off date for efficacy 7 November 2020) and the final analysis based on data snapshot 2 (25
November 2020; cut-off date for efficacy 21 November 2020). There were 95 and 196 adjudicated
cases of COVID-19 14 days or more after the second dose included in each analysis, respectively.

Primary efficacy endpoint as determined in the interim analysis (data cut-off 7 November 2020)

The inferential statistical analysis of vaccine efficacy based on the interim analysis was performed on
95 adjudicated cases of COVID-19 accrued in the Per-Protocol set, with 5 cases occurring in the mRNA-
1273 group and 90 cases occurring in the placebo group.

The analysis indicates a vaccine efficacy (VE) point estimate of 94.5% (unadjusted 95% CI: 86.5,
97.8; p <0.0001) for prevention of laboratory confirmed COVID-19 in subjects without evidence of
SARS-CoV-2 infection prior dose 1. The adjusted 95% CI, reflecting the additional uncertainty due to
interim analyses, was reported as (81.8%, 98.3%). The primary objective was met.

Primary efficacy endpoint as determined in the final analysis (data cut-off 21 November 2020)

The final efficacy analysis was conducted on the efficacy data set as of 21 November 2020, which
included 28,207 participants in the PP set with a median follow-up time of 9 weeks after the second
dose. A total of 196 adjudicated COVID-19 cases were accrued and the estimated VE was 94.1% (95%
CI 89.3%, 96.8%). These results support the conclusion on vaccine efficacy based on the first interim
analysis.

Table 12 - Primary Efficacy Analysis: COVID-19 cases Starting 14 Says After the Second
Dose –PP Set

Vaccine Group Placebo Group Vaccine Efficacy

N= 13934 N= 13883 (VE) %
Cases Cases (95% Confidence
n (%) n (%) Interval)**
(Incidence Rate per (Incidence Rate per
1,000 Person-Years)* 1,000 Person-
Years)*
All subjects 11 (<0.1); 185 (1.3); 94.1%
3.328 56.510 (89.3%, 96.8%)
18 to <65 years1 7 / 10551 (<0.1); 156 / 10521 (1.5); 95.6%;

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 2.875 64.625 (90.6%, 97.9%)
65 years and older2 4 / 3583 (0.1); 29 / 3552 (0.8); 86.4%;
4.595 33.728 (61.4%, 95.5%)
COVID-19: symptomatic COVID-19 requiring positive RT-PCR result and at least 2 systemic symptoms or 1 respiratory symptom.
Cases starting 14 days after the second dose. All potential COVID-19 cases starting 14 days after the second dose in the clinical
database as of 21-Nov-2020 have been sent to adjudication committee, and have been adjudicated for this analysis (21-Nov-2020 is
the data cut-off date for efficacy).
* Incidence rate is defined as the number of subjects with an event divided by the number of subjects at risk and adjusted by
person-years (total time at risk) in each treatment group. The 95% CI is calculated using the exact method (Poisson distribution)
and adjusted by person-years.
**VE and 95% CI from the stratified Cox proportional hazard model
1
Percentage based on number of subjects in the 18 to <65 years of age group.
2
Percentage based on number of subjects in the ≥65 years of age group.

Supplementary analyses of the primary endpoint (based on data cut-off 21 November 2020)

Based on the mITT set, which includes all participants in the FAS who had no immunologic or virologic
evidence of prior SARS-CoV-2 infection or COVID-19 at Day 1 before the first dose, the VE 14 days
after dose 2 was estimated to be 93.6% (95% CI 88.5; 96.4). This suggests that the reasons
rendering subjects ineligible for PPS had no major impact on VE, thus refuting potential selection bias.

Table 13 - Analysis of Vaccine Efficacy of mRNA-1273 to Prevent COVID-19 Based on

Adjudication Committee - Assessments Starting 14 Days After Second Injection (mITT)

Placebo mRNA-1273
(N=14598) (N=14550)

Number of Subjects with Secondary Definition of COVID-19

n (%) 185 (1.3) 12 (<0.1)
Number of Subjects Censored, n (%) 14413 (98.7) 14538 (>99.9)
Vaccine Efficacy Based on Hazard Ratio 0.936
(95% CI) [1] (0.885, 0.964)

Person-Years [2] 3282.9 3390.1

Incidence Rate per 1,000 Person-Years 54.688 3.540
(95% CI) [3] (47.091, 63.161) (1.829, 6.183)
Vaccine Efficacy Based on Incidence Rate 0.935
(95% CI) [4] (0.884, 0.967)
[1] Vaccine efficacy (VE), defined as 1 - hazard ratio (mRNA-1273 vs. placebo), and 95% CI are estimated using a stratified Cox
proportional hazard model with Efron's method of tie handling and with the treatment group as a covariate, adjusting for
stratification factor.
[2] Person-years is defined as the total years from randomisation date to the date of COVID-19, last date of study participation, or
efficacy data cut-off date, whichever is earlier.
[3] Incidence rate is defined as the number of subjects with an event divided by the number of subjects at risk and adjusted by
person-years (total time at risk) in each treatment group. The 95% CI is calculated using the exact method (Poisson distribution)
and adjusted by person-years.
[4] VE is defined as 1 — ratio of incidence rate (mRNA-1273 vs. placebo). The 95% CI of the ratio is calculated using the exact
method conditional upon the total number of cases, adjusting for person-years.

The cumulative incidence rates of COVID-19 starting after randomisation, which corresponds to day 1,
start to continuously increase in the placebo group thereafter while they remain low in the vaccine
group. However, it is noted that a high percentage of individuals in the mITT set has received a second
dose (i.e. mRNA-1273: 97.7% and placebo: 97.0%). This analysis, closer to the ITT principle than the
primary analysis, by accounting for all cases accruing after IP administration and less stringent in set
eligibility, further serves to support VE. This also applies for a similar analysis done in the full analysis
set (FAS).

Table 14 - Analysis of Vaccine Efficacy of mRNA-1273 to Prevent COVID-19 Starting after

Randomisation regardless of prior SARS-COV-2 infection (mITT & FAS)

mRNA Placebo VE
n/N (%) n/N (%) (95% CI)
FAS 26/15181 (0.2) 276/15170 (1.8) 90.7% (86.1%, 93.8%)

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mITT 19/14550 (0.1) 269/14598 (1.8) 93.0% (88.9%, 95.6%)

Figure 18 - Cumulative incidence curve of COVID starting after randomisation regardless of

prior SARS-COV-2 infection (mITT)

Secondary efficacy endpoint analyses (data cut-off 21 November 2020)

Vaccine efficacy to prevent severe COVID-19

The vaccine efficacy analysis presented for prevention of severe cases of COVID-19 shows that no
cases occurred in the mRNA-1273 group but 30 severe COVID-19 cases were reported in the placebo
group indicating protection from development of severe COVID-19 starting 14 days after dose 2 up to
the data cut-off.

Table 15 - Analysis of Vaccine Efficacy of mRNA-1273 to Prevent Severe COVID-19 Based on

Adjudication Committee Assessments Starting 14 Days After Second Injection (PP)

Placebo mRNA-1273
(N=14073) (N=14134)

Number of Subjects with Severe COVID-19

n (%) 30 (0.2) 0
Number of Subjects Censored, n (%) 14043 (99.8) 14134 (100)

Vaccine Efficacy Based on Hazard Ratio 1.000

(95% CI) [1] (NE, 1.000)

Person-Years [2] 3282.9 3305.4

Incidence Rate per 1,000 Person-Years 9.138 0.000
(95% CI) [3] (6.166, -13.046) (NE, -1.116)
Vaccine Efficacy Based on Incidence Rate 1.000
(95% CI) [4] (0.870, NE)

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[1] Vaccine efficacy (VE), defined as 1 - hazard ratio (mRNA-1273 vs. placebo), and 95% CI are estimated using a stratified Cox
proportional hazard model with Efron's method of tie handling and with the treatment group as a covariate, adjusting for
stratification factor.
[2] Person-years is defined as the total years from randomisation date to the date of severe COVID-19, last date of study
participation, or efficacy data cut-off date, whichever is earlier.
[3] Incidence rate is defined as the number of subjects with an event divided by the number of subjects at risk and adjusted by
person-years (total time at risk) in each treatment group. The 95% CI is calculated using the exact method (Poisson distribution)
and adjusted by person-years.
[4] VE is defined as 1 — ratio of incidence rate (mRNA-1273 vs. placebo). The 95% CI of the ratio is calculated using the exact
method conditional upon the total number of cases, adjusting for person-years.

Vaccine efficacy to prevent COVID-19 using a secondary definition of symptoms

Based on a less stringent definition of a case of COVID-19 with only one symptom present at time of
reporting (as defined by CDC) and a confirmation of SARS-CoV-2 infection by RT-PCR in subjects
without evidence of SARS-CoV-2 infection prior to dose 1, the VE at 14 days after dose 2 was
estimated to be 95.1% (95% CI 91.1; 97.3).

Table 16 - Analysis of Vaccine Efficacy of mRNA-1273 to Prevent Secondary Definition of

COVID-19 Starting 14 Days After Second Injection (Per-Protocol Set)

Placebo mRNA-1273
(N=14073) (N=14134)

Number of Subjects with Secondary Definition of COVID-19

n (%) 221 (1.6) 11 (<0.1)
Number of Subjects Censored, n (%) 13852 (98.4) 14123 (>99.9)

Vaccine Efficacy Based on Hazard Ratio 0.951

(95% CI) [1] (0.911, 0.973)

Person-Years [2] 3269.8 3304.8

Incidence Rate per 1,000 Person-Years 67.589 3.329
(95% CI) [3] (58.971, 77.112) (1.662, 5.956)
Vaccine Efficacy Based on Incidence Rate 0.951
(95% CI) [4] (0.910, 0.976)
[1] Vaccine efficacy (VE), defined as 1 - hazard ratio (mRNA-1273 vs. placebo), and 95% CI are estimated using a stratified Cox
proportional hazard model with Efron's method of tie handling and with the treatment group as a covariate, adjusting for
stratification factor.
[2] Person-years is defined as the total years from randomisation date to the date of secondary definition of COVID-19, last date of
study participation, or efficacy data cut-off date, whichever is earlier.
[3] Incidence rate is defined as the number of subjects with an event divided by the number of subjects at risk and adjusted by
person-years (total time at risk) in each treatment group. The 95% CI is calculated using the exact method (Poisson distribution)
and adjusted by person-years.
[4] VE is defined as 1 — ratio of incidence rate (mRNA-1273 vs. placebo). The 95% CI of the ratio is calculated using the exact
method conditional upon the total number of cases, adjusting for person-years.

Vaccine efficacy to prevent death caused by COVID-19

In the PP set, one participant died due to COVID-19 in the placebo group and none in the vaccine
group during the course of the study.

VE to prevent COVID-19 starting 14 days after dose 2 regardless of prior SARS-CoV-2 Infection

Vaccine efficacy regardless of prior SARS-CoV-2 infection is consistent with VE in subjects without prior
evidence of SARS-CoV-2. Based on the FAS population VE at 14 days after dose 2 was estimated to be
93.6% (95% CI 88.6; 98.6) in subjects with or without evidence of SARS-CoV-2 infection prior to dose
1. Evidence of prior SARS-CoV-2 at baseline, however, was reported only in approx. 2.2% of study
participants suggesting a low infection rate in the general population at time of enrolment.

Table 17 - Analysis of Vaccine Efficacy of mRNA-1273 to Prevent COVID-19 Based on

Adjudication Committee Assessments Starting 14 Days After Second Injection Regardless of
Prior SARS-CoV-2 Infection (FAS)

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 Placebo mRNA-1273
(N=15170) (N=15181)

Number of Subjects with COVID-19

n (%) 187 (1.2) 12 (<0.1)
Number of Subjects Censored, n (%) 14983 (98.8) 15169 (>99.9)

Vaccine Efficacy Based on Hazard Ratio 0.936

(95% CI) [1] (0.886, 0.965)

Person-Years [2] 3507.9 3325.1

Incidence Rate per 1,000 Person-Years 53.309 3.404
(95% CI) [3] (45.942, 61.521) (1.759, 5.946)
Vaccine Efficacy Based on Incidence Rate 0.936
(95% CI) [4] (0.886, 0.968)
[1] Vaccine efficacy (VE), defined as 1 - hazard ratio (mRNA-1273 vs. placebo), and 95% CI are estimated using a stratified Cox
proportional hazard model with Efron's method of tie handling and with the treatment group as a covariate, adjusting for
stratification factor.
[2] Person-years is defined as the total years from randomisation date to the date of COVID-19, last date of study participation, or
efficacy data cut-off date, whichever is earlier.
[3] Incidence rate is defined as the number of subjects with an event divided by the number of subjects at risk and adjusted by
person-years (total time at risk) in each treatment group. The 95% CI is calculated using the exact method (Poisson distribution)
and adjusted by person-years.
[4] VE is defined as 1 — ratio of incidence rate (mRNA-1273 vs. placebo). The 95% CI of the ratio is calculated using the exact
method conditional upon the total number of cases, adjusting for person-years.

Ancillary analyses

Subgroup analyses of vaccine efficacy confirmed that efficacy was consistent across major
demographic and baseline characteristics. Although the clinical development was solely performed in
the USA, the demographic characteristics are relevant for the European population too in general.

Based on the primary efficacy endpoint to prevent COVID-19 starting 14 days after the 2nd dose in
subjects without prior evidence of SARS-CoV-2 infection, results of subgroup analysis of VE according
to specific age subgroups are presented below. The vaccine efficacy of mRNA-1273 indicates good
protection from COVID-19 although with lower efficacy estimates in the ≥65 to <75 years old (82.4%;
95% CI: 46.9; 93.9) and an estimated VE of 100% in subjects aged 75 years and older.

As regards subjects 75 years of age and older, the number included in the study and the number of
cases observed are limited as few participants were enrolled in this age group and the median follow-
up was of approx. 9 weeks post-dose 2. Long-term protection from disease remains unknown for the
time being including for subjects of high-risk groups.

Table 18 - Subgroup Analyses of Vaccine Efficacy - COVID-19 cases 14 Days After Dose 2 per
Adjudication Committee Assessments – PP Set, primary efficacy analysis, Data cut-off: 21
November 2020

Subgroup Vaccine Group Placebo Group VE %

Cases N (%) Cases N (%) (95% Confidence
Incidence Rate in Incidence Rate in Interval)
1,000 Person-Years 1,000 Person-Years

Age (years)1
18 to <65 7 / 10551 (<0.1); 156 / 10521 (1.5); 95.6%
2.875 64.625 (90.6%, 97.9%)
65 and older 4 / 3583 (0.1); 29 / 3552 (0.8); 86.4%
4.595 33.728 (61.4%, 95.2%)
≥65 to ≤75 4/2,953; (0.1) 22/2864; (0.8) 82.4%
5.586 31.744 (46.9%, 93.9%)
75 and older 7 / 688 (1.0); 100%
0 / 630
41.968 (NE, 100%)
At risk for severe COVID-19 due
to comorbidity, regardless of
age 1*
Yes 4 / 3206 (0.1); 43 / 3167 (1.4); 90.9%

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 Subgroup Vaccine Group Placebo Group VE %
Cases N (%) Cases N (%) (95% Confidence
Incidence Rate in Incidence Rate in Interval)
1,000 Person-Years 1,000 Person-Years

5.227 57.202 (74.7%, 96.7%)

No 7 / 10928 (<0.1); 142 / 10906 (1.3); 95.1%
2.756 56.304 (89.6%, 98.1%)
Age and risk for severe COVID-
191**
18 and <65 and at risk 2 / 2155 (<0.1) 35 / 2118 (1.7) 94.4%
3.947 70.716 (76.9%, 98.7%)
≥65 and at risk 0 / 1041 (<0.1) 2 / 8403 (1.4) 75.2%
1.049 (NE, 94.7%)
Baseline SARS-CoV-21***
Positive 1 / 336 (0.3); 100%
0 / 343
13.915
Negative 12 / 14550 (<0.1); 185 / 14598 (1.3); 93.6%
3.540 54.688 (88.5%, 96.4%)
Sex 1
Female 7 / 6768 (0.1); 98 / 6611 (1.5); 93.1%
4.364 62.870 (85.2%, 96.8%)
Male 4 / 7366 (<0.1); 87 / 7462 (1.2); 95.4%
2.3.52 50.730 (87.4%, 98.3%)
Race and Ethnicity 1
Non-Hispanic White 10 / 9023 (0.1); 144 /8916 (1.6); 93.2%
4.413 64.608 (87.1%, 96.4%)
Communities of colour 1 / 5088 (<0.1); 41 / 5132 (0.8); 97.5%
0.967 39.443 (82.2%, 99.7%)
Ethnicity 1
Hispanic or Latino 1 / 2789 (<0.1); 28 / 2780 (1.0); 96.5%
1.758 49.662 (74.4%, 99.5%)
Not Hispanic or Latino 10 / 11212 (<0.1); 156 / 11165 (1.4); 93.7%
3.699 58.211 (88.1%, 96.7%)
Race 1
American Indian or Alaska Native 1 / 111 (0.9);
0 / 108 100%
44.788
Asian 5 / 689 (0.7);
0 / 620 100%
35.599
Black or African American 6 / 1349 (0.4);
0 / 1385 100%
22.283
Native Hawaiian or Other Pacific
0 / 35 0 / 31
Islander
White 11 /11253 (<0.1); 166 / 11174 (1.5); 93.5%
4.032 61.606 (88.0%, 96.5%)
Multiple 3 / 307 (1.0);
0 / 295 100%
48.476
Other 2 / 295 (0.7);
0 / 299 100%
36.221
1 Percentage based on number of subjects in each subgroup
* At risk for severe COVID-19 due to comorbidity, regardless of age. High risk is defined as patients who meet at least one of the
following criteria (protocol-defined):
• Chronic lung disease (e.g., emphysema and chronic bronchitis, idiopathic pulmonary fibrosis, and cystic fibrosis) or moderate to
severe asthma
• Significant cardiac disease (e.g., heart failure, coronary artery disease, congenital heart disease, cardiomyopathies, and
pulmonary hypertension)
• Severe obesity (body mass index ≥ 40 kg/m2)
• Diabetes (Type 1, Type 2 or gestational)
• Liver disease
Human immunodeficiency virus (HIV) infection
** Age and health risk for severe COVID-19 is used as stratification factor for randomisation
***Endpoint based on the FAS Set.

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Table 19 – Summary of subgroup analysis results by number of risk factors 1 for severe
COVID-19 based on adjudicated COVID-19 cases starting 14 days after 2nd dose, PP set,
data cut-off 25 November 2020

N: number of participants in specified subgroups

*VE: 1-hazard risk, using cox proportional hazard model
1: At risk for severe COVID-19 due to comorbidity, regardless of age. High risk is defined as patients who meet at least one of the
following criteria (protocol-defined):
• Chronic lung disease (e.g., emphysema and chronic bronchitis, idiopathic pulmonary fibrosis, and cystic fibrosis) or moderate to
severe asthma
• Significant cardiac disease (e.g., heart failure, coronary artery disease, congenital heart disease, cardiomyopathies, and
pulmonary hypertension)
• Severe obesity (body mass index ≥ 40 kg/m2)
• Diabetes (Type 1, Type 2 or gestational)
• Liver disease

Summary of main study

The following tables summarise the efficacy results from the main study supporting the present
application. This summary should be read in conjunction with the discussion on clinical efficacy as well
as the benefit risk assessment (see later sections).

Table 1. Summary of Efficacy for trial mRNA-1273-P301

Title: A Phase 3, Randomized, Stratified, Observer-Blind, Placebo-Controlled Study to

Evaluate the Efficacy, Safety, and Immunogenicity of mRNA-1273 SARS-CoV-2 Vaccine in
Adults Aged 18 Years and Older

Study identifier P301

NCT04470427

Design Phase 3, randomised, observer-blind, placebo-controlled study

Duration of main phase: 24 months post-dose 2, ongoing

Hypothesis Superiority
Treatments groups mRNA-1273+LNP 2 doses of 100 µg/0.5ml given
28 days apart. N=14134

Placebo, 0.9% NaCl, sterile 2 doses of 0.5ml given 28

days apart. N=14073

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 Endpoints Primary To prevent VE will be estimated with 1 - HR
and endpoint confirmed COVID- (mRNA-1273 vs placebo) using a
definitions 19 starting 14 days Cox proportional hazard regression
after Dose 2 model with treatment group as a
fixed effect and adjust for
stratification factor based on the PP
Set, with cases counted starting 14
days after the second dose of IP.
Secondary To prevent severe VE will be estimated with 1 - HR
Endpoint COVID-19 starting (mRNA-1273 vs placebo) using a
14 days after Dose 2 Cox proportional hazard regression
model with treatment group as a
fixed effect and adjusting for
stratification factor based on the PP
Set, with cases counted starting 14
days after the second dose of IP.

Secondary To prevent COVID- VE will be estimated with 1 - HR

endpoint 19 starting 14 days (mRNA-1273 vs placebo) using a
after dose 2 Cox proportional hazard regression
regardless of prior model with treatment group as a
SARS-CoV-2 fixed effect and adjusting for
infection stratification factor based on the
FAS Set, with cases counted
starting 14 days after the second
dose of IP.

Data snapshots Interim efficacy analysis: 11 Nov 2020 (clinical data cut-off: 7 Nov 2020)
Final efficacy analyses: 25 Nov 2020 (clinical data cut-off: 21 November 2020)

Results and Analysis

Analysis Inferential Analysis – This analysis was used for formal proof of efficacy
description
Analysis Per protocol:
population and All participants in the who were baseline seronegative, received all planned
time point doses and without major protocol deviations (data cut-off 07 Nov 2020)
description
Descriptive Treatment group mRNA- placebo
statistics and 1273+LNP
estimate Number of subject 13934 13883
variability
To prevent 5 (<0.1); 90 (0.6);
confirmed COVID- 1.840 33.365
19 starting 14 days
after Dose 2
Cases n (%)
(Incidence Rate per
1,000 Person-Years)

Effect estimate Primary endpoint mRNA-1273 to placebo

Comparison groups
per comparison
(N=14134/14073)

VE: 1 - 94.5
hazard ratio
(mRNA-1273
vs. placebo)

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 Unadjusted 95% CI
86.5%, 97.8%
Adjusted 95% CI*
81.8%, 98.3%
p-value < 0.0001
(H0: VE ≤ 30%)
Notes *Adjusted for interim analyses based on O’Brien-Fleming alpha-spending
function. The nominal significance level to be used at the first interim was
0.0045 (one-sided) leading to a nominal 99.1% CI.

Analysis Final Analysis – These analyses were used to refine estimates based on more
description mature data
Analysis Per protocol:
population and All participants who were without prior evidence of SARS-CoV-2 before dose 1
time point and received all planned doses and were without major protocol deviations
description (data cut-off 21 Nov 2020)

Descriptive Treatment group mRNA- placebo

statistics and 1273+LNP
estimate
Number of subjects 14134 14073
variability
To prevent 11 (<0.1); 185 (1.3);
confirmed COVID- 3.328 56.510
19 starting 14 days
after Dose 2
Cases n (%)
(Incidence Rate per
1,000 Person-Years)

Effect estimate Primary endpoint mRNA-1273 to placebo

Comparison groups
per comparison
(N=14134/14073)

VE: 1 - 94.1
hazard ratio
(mRNA-1273
vs. placebo)
95% CI
89.3%, 96.8%

Effect estimate Secondary Comparison groups mRNA-1273 to placebo

per comparison endpoint: (N=14134/14073)
To prevent severe
COVID-19 VE: 1 - incidence 100% (based on 30 cases)
starting 14 days rate (mRNA-1273
after Dose 2 vs. placebo)
95% CI 87.0%, NE

Secondary Comparison groups mRNA-1273 to placebo

endpoint (FAS (N=15181/15170)
set):
To prevent VE: 1 - hazard ratio 93.6%
COVID-19 (mRNA-1273 vs.
starting 14 days placebo)
after dose 2
regardless of
prior SARS-CoV-2 95% CI 88.6%, 96.5%
infection

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2.5.3. Discussion on clinical efficacy

Design and conduct of clinical studies

The pivotal phase 3 clinical trial mRNA-1273-P301 is a multicentre, randomised, placebo-controlled,

observer blind, efficacy and safety study. Since the study is case-driven, high number of centres and
rate of enrolment together with planned interim analyses for early evaluation of vaccine efficacy
resulted in a short time to last patient enrolled/vaccinated and primary efficacy readouts. This resulted
in short follow-up duration and, related to that, the inability to inform long-term efficacy and safety
objectives at present. Two data snapshots with data cut-off date 7 November 2020 and 21 November
2020 were provided for assessment. Of note, these snapshots are not fully cleaned, monitored and
validated as opposed to usual data base locks. The dose for phase 3 was selected based on emergent
safety and immunogenicity data from the phase 1 study 20-0003 and supported by the reactogenicity
data after dose 2 from the phase 2a P201 study. Immunogenicity results from the phase 2a study were
not available at the time of the dose selection.

All studies are ongoing. The study duration of the pivotal study is 24 months after the second dose to
collect long-term efficacy, immunogenicity and safety data. Currently, efficacy data are available from
a median duration of 9 weeks after the second dose.

The study population comprises subjects 18 years of age and older including individuals with
underlying but stable chronic disease (e.g. diabetes, chronic lung disease, obesity) and elderly subjects
over 65 years of age with a substantial proportion over 75 years known to have an increased risk of
development of severe disease, hospitalisation and death following SARS-CoV-2 infection.
Randomisation was stratified based on age and, if participants were < 65 years of age, based on the
presence or absence of risk factors for severe illness from COVID-19 according to CDC
recommendation as of March 2020. With protocol amendment 4 the applicant aimed to increase the
enrolment of these two high-risk groups to achieve higher inclusion rates: at least 25% and up to 50%
of enrolled participants, were planned to be either ≥ 65 years of age, or < 65 years of age but at risk
for severe COVID-19 at screening. A high proportion of the finally randomised study population
represents these two high-risk groups (25.3% and 16.7%, respectively). In addition, individuals with a
high risk of exposure to SARS-CoV-2 due to their occupation such as health care and frontline workers
were included (82%, of which 25% heath care workers).

Recruitment was limited to the US (99 study sites overall). There are no major intrinsic/extrinsic
differences seen between regions to question applicability of main efficacy results to the EU given
study objectives and main endpoints. It is also considered that the time of study conduct had no
negative impact on generalisability of results to the present situation due to relative stability of
dominant US/EU clades during phase 3 and since then.

Pregnant and breastfeeding women were excluded from the studies as this vaccine class is new and no
vaccine was yet approved based on Moderna’s mRNA technology platform at the time the trials were
initiated. Based on lack of experience in humans and the fact that animal data from the DART study
was only available very recently after study start, this approach is supported. In addition, no immune
suppressed subjects or subjects with immunodeficiencies were enrolled except for a limited number of
HIV infected individuals. This approach is considered acceptable for a pivotal study, moreover
conducted during an emergency situation, to avoid exposing vulnerable population before having a

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clear understanding of the benefits of the vaccine. Further data on immunocompromised individuals
are needed (see requirements for post-authorisation in Section 2.7 on RMP).

The primary efficacy endpoint specified in the study is prevention of COVID-19 starting 14 days post-
dose 2 in individuals with no prior evidence of SARS-CoV-2 infections before receiving any study
treatment. Secondary efficacy endpoints include prevention of severe COVID-19 in baseline
seronegative subjects, prevention of COVID-19 regardless of prior SARS-CoV-2 infection, and
prevention of asymptomatic infection.

The primary analysis population was the per protocol (PP) set defined as all subjects without major
protocol deviations who received all planned doses of the study treatment and who had not developed
COVID-19 prior to the second dose. In the protocol the acceptable window for receiving the second
dose was defined as -3/+7 days around day 28. At the time of definition of major protocol deviations,
which was to happen before unblinding, the acceptable visit window was widened to days 21 – 42 (-
7/+14 days around the interval of 28 days). The impact of this change cannot be fully assessed at this
point in time. Only around 600 study participants in the PP set were outside the initially defined
window but fell in the widened window. Consequently it is considered that the widening will not
negatively impact the study outcome but does not add relevant information. Additional analyses were
to be conducted in the modified intent-to-treat (mITT) set including all baseline SARS-CoV-2 negative
participants who received at least one dose of the study treatment and the full analysis set (FAS)
including all randomised patients (i.e. regardless of serostatus) who received at least one dose of study
treatment.

Conducting the primary analysis in subjects who receive the two doses as scheduled without (other)
major protocol deviation (i.e. PPS) only, and furthermore counting cases for the primary analysis only
14 days after the second dose onwards is acceptable (and was pre-specified as such), but this has
evident implications for the target of estimation. Aligned with the ITT principle and the subjects being
exposed to potential IP-related risks already after the first dose, analyses investigating vaccine efficacy
in preventing cases occurring already after the first dose and in a broader analysis set thus have been
considered in addition.

Assessment of probable COVID-19 cases was carried out following reporting by study participants of at
least two systemic or one respiratory clinical sign/symptom recognised to be predictive of COVID-19
(predefined) and subsequent laboratory confirmation of infection of SARS-CoV-2 in nasal swabs or
saliva samples by RT-PCR.

Nasal swabs and saliva samples were either collected at the study site or through self-collection by
individuals. The RT-PCR assay is acceptably validated and additional validation studies to evaluate
stability of clinical samples at various temperatures and freeze/thawing cycles to cover shipping and
storage conditions were provided. Data are available to assure that reliable results are obtained by
self-collection and shipping of samples.

Besides RT-PCR testing at time of randomisation, evaluation of seropositivity by employing a SARS-

CoV-2 specific nucleocapsid IgG ELISA was performed to confirm any asymptomatic infection prior to
vaccination. The assay was validated and all specified acceptance criteria are met. This assay is used
also to assess two secondary efficacy endpoints (combined evaluation of prevention of COVID-19 as
determined by RT-PCR and of asymptomatic infection as determined by seroconversion in those who
were seronegative at baseline; prevention of asymptomatic infection). Data on these secondary
efficacy endpoints are not available for the time being and should be submitted as soon as they
become available (see list of recommendations in Annex I).

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During rolling review assessment, it was found difficult (also due to the operational and time
constraints) to completely comprehend the process from incident COVID-19 symptom occurrence in a
study participant to final decision as to whether or not a ‘case’ was declared (and considered for
primary efficacy analyses). This relates to roles of site investigators, sponsor, CRO and Adjudication
Committee, DSMB all involved in this process, procedural rules and pre-specification, and
documentation/comprehensibility of decisions made at different steps throughout. In principle, all
suspected COVID-19 cases were to be adjudicated by a central, blinded Adjudication Committee (AC).
This is endorsed. At the time of the provided data snapshots none of the cases that occurred prior to
dose 2 and not all suspected cases 14 days after the second dose were adjudicated. This leads to some
uncertainties for the primary analysis regarding the exclusion/censoring or early COVID-19 cases, and
for sensitivity and (key) secondary analyses. The lack of full adjudication of suspect cases after 14
days of the second dose mainly reduces the number of observed cases. As it was stated that both the
Sponsor and the AC were to be blinded in the adjudication process, it is assumed that adjudicated
cases are a random subset of all suspect cases. Hence, no substantial bias is to be expected for the
primary analysis based on adjudicated cases. Analyses based on all adjudicated cases are said to be
provided with the final CSR. Overall, no major uncertainties remain that would alter benefit/risk
conclusions. However, it cannot be entirely ruled out that some source of bias occurred during case
monitoring/processing and that the efficacy estimation may be optimistic to a certain degree.

Immunogenicity endpoints were defined in the study protocol to evaluate binding and neutralising
antibody responses following vaccination in a subset of study participants. These endpoints are
appropriately chosen and relevant to assess any decline of antibody responses over time and to
eventually bridge to other populations not included in the current clinical development. Any attempts
to define a correlate of protection or surrogate marker for protection are supported. Assay validation is
pending and no immunogenicity results from study P301 are yet available. These data should be
provided with the final study report.

The study was planned to be observer blind and all relevant sponsor personnel and participants were
to remain blinded until the end of study visit after 25 months of enrolment. With protocol amendment
6 the applicant planned to offer unblinding to all participants at once at the time of the US Emergency
Use Authorisation. This is not endorsed from a scientific point of view. As outlined in EMA’s
considerations on COVID-19 vaccine approval (EMA/592928/2020) it is “recommended that clinical
trial participants should be followed for safety and efficacy within their randomised groups for at least
one year after completing vaccination” whenever feasible. More mature study data with a longer
follow-up are required despite positive early (interim) analyses. Hence, the applicant should thoroughly
consider pre-planning analyses in a dedicated supplementary SAP (sSAP; to be submitted to EMA as
soon as available), which allows to extract the best available information from the ongoing Phase 3
study with respect to duration of protection, correlate of protection, vaccine-enhanced disease, and
other long-term safety data. This sSAP should be further discussed and agreed with the EMA. The
applicant is recommended to seek EMA scientific advice (see list of recommendations, Annex I).

Two interim and one final analyses were planned after 53, 106 and 151 accrued cases. In the conduct
of the study, the timing and number of analyses was changed. The first interim analysis was conducted
after 95 adjudicated cases. The second interim analysis was dropped. The final analysis was conducted
after 196 adjudicated cases for the primary endpoint instead of 151 cases. At both analyses severe
overrunning was obvious. The applicant explained that the modified timing of analyses was mainly
based on safety data requirements as set out by FDA and that overrunning occurred due to the speed
up of the pandemic. While these arguments are in principle understood, these reasons are not
sufficient to well justify the observed changes. Potential opportunistic choices based on accruing

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information cannot be fully excluded. The impact of the deviation from pre-planned primary efficacy
evaluation on the assessment of vaccination benefit is considered low.

The primary endpoint was analysed using a Cox proportional hazards model accounting for
stratification factors. Vaccine efficacy was estimated as 1 – HR (hazard ratio). The same methods were
to be used for comparable secondary endpoints. A sensitivity analysis using a Fine and Gray model
accounting for competing risks due to early COVID-19 cases before the second dose or deaths
unrelated to COVID-19 was provided.

Multiplicity control for primary and key secondary endpoints was defined in the SAP. The proposed
procedure does not control the type 1 error for secondary endpoints in the strong sense and
substantial error inflation is possible. The conclusion on the primary endpoint is not considered to be
impacted.

In conclusion, the design and conduct of the study were appropriate overall and were in line with the
requirements as laid down in the Guideline on clinical evaluation of new Vaccines
(EMA/CHMP/VWP/164653/2005) and as recommended via Scientific Advice. The primary and
secondary efficacy objectives as defined in the phase 3 study are of clinical relevance and follow ICMRA
recommendations for the evaluation of COVID-19 vaccines (ICMRA SARS-CoV-2 Vaccines Workshop;
July 2020). The pivotal study is still ongoing. Participant retention is very high based on information up
to the latest reported cut-off point. Close to 90% of participants had at least 4 weeks of follow-up after
the second dose and around 55% had been followed for at least 2 months. Follow-up is short, but this
is acceptable given the circumstances of the ongoing SARS-COV-2 pandemic.

Efficacy data and additional analyses

Vaccine efficacy according to the primary efficacy endpoint was demonstrated on an interim analysis
with data cut-off date of 7 November 2020 including 27,817 individuals in the PP set, when 95 cases
were accrued. The inferential analysis at this first interim analysis indicated a VE point estimate of
94.5% with an adjusted 95% CI of 81.8%, 98.3% (unadjusted 95% CI: 86.5%, 97.8%; p <0.0001).
VE was confirmed in the final efficacy analyses with data cut-off date 21 November 2020 after accrual
of 196 adjudicated COVID-19 cases based on the efficacy population of 28,207 subjects (overall
efficacy 94.1% CI not adjusted for multiplicity 89.3, 96.8). The final efficacy evaluation is based on a
median follow-up of 9 weeks. The study is ongoing and further data on long-term protection are
expected with the final study report.

The disposition of study participants in the various analyses sets were well balanced across treatment
groups. Few individuals withdrew from the study and only a very small number due to occurrence of an
AE. Based on the provided data in the PP set, the three risk strata were well balanced between placebo
and mRNA-1273 with n = 16,631 (59.8%) participants <65 years of age and not at risk, n = 4,159
(15.0%) participants < 65 years of age and at risk, and n = 7,026 (25.3%) participants ≥ 65 years of
age.

VE to prevent COVID-19 of any severity was high in the per protocol population starting 14 days post-
dose 2, which included subjects without prior evidence of SARS-CoV-2 infection before dose 1.

Regarding severe COVID-19, 30 cases were reported for placebo and no cases for the vaccine arm.
Vaccine efficacy against severe COVID-19 was thus estimated to be 100% (95% CI 87.0%, NE). One
severe COVID-19 case in the vaccine group was reported as SAE but was not adjudicated at the time
of the data snapshot. Given the low numbers of severe cases, further follow up data are needed to
consolidate the observed protective effect against severe COVID-19. Based on limited case narratives
there were 9 hospitalisations among those cases (of which 2 ICU admitted of which one fatal). The

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majority of the severe cases were adjudicated as such based on SpO2 below the defining threshold of
93% for varying duration. Whereas reassuring for efficacy across varying disease severity, the cases
overall seem mostly mild, which is a limitation of the dataset. Reflecting these findings in SmPC 5.1
should account for the available information about severity of cases observed thus far.

At the second data snapshot (final analysis), VE was 94.1% (95% CI 89.3%, 96.8%). Of note, one
subject in the placebo group died of COVID-19 while none died in the vaccine group. The Fine and
Gray model based on the mITT set accounting for competing events confirmed the primary analysis
with a VE of 94.2% (95% CI: 89.6%, 96,7%).

These results are confirmed when a less stringent definition of COVID-19 based on only one clinical
symptom according to CDC was employed.

For sensitivity analysis in mITT population and counting cases from dose 1 onwards, which include all
individuals without prior evidence of SARS-CoV-2 infection before the first dose was given, but
regardless whether they received a full 2-dose regimen or not, again high vaccine efficacy was
estimated. Cumulative incidence rates were increasing constantly after randomisation in the placebo
group but remained low in the vaccine group. Although these analyses suggest that one dose might
provide some protection, a very high percentage of individuals in the mITT set received the second
dose and the vast majority of subjects received their second dose within the specified window of 23-36
days after the first dose. No definitive conclusion on clinical efficacy after one dose can be drawn based
on the very short time window between the two doses and consequently very few cases.

Based on the FAS population, which included individuals with and without prior evidence of SARS-CoV-
2 infection at randomisation, no difference in vaccine efficacy was reported compared to vaccine
efficacy estimated in subjects without prior evidence of SARS-CoV-2 prior to dose 1.

In addition, subgroup analyses showed that vaccine efficacy is consistent across different risk groups,
subjects with various underlying diseases and different demographic characteristics. VE decreases with
the number of risk factors for severe COVID-19 from 95.1% (95% CI: 89.6, 97.7; no risk factors),
91.7% (95% CI: 73.0, 97.4; one risk factor) to 87.2% (95% CI: -2.7, 98.4; 2 or more risk factors).
Given the very low number of participants with more than one risk factor, this trend cannot be
confirmed. Since the risk of severe disease with hospitalisation and death is specifically high with
increasing age further analyses of VE following stratification in finer age categories was presented.
Given the few participants (n = 1318) above 75 and only 7 accrued cases in the placebo arm (none in
the active arm) no reliable estimates in this group can be derived. VE is consistent in the over 65-year
olds, although a slightly lower VE was estimated (86.4%, 95% CI: 61.4, 95.2).

No information is currently available on prevention from asymptomatic infection and these data should
be provided with the clinical study report for part A of the study as soon as these data become
available (see list of recommendations in Annex I).

Only a small number of HIV positive subjects were enrolled. Individuals under immunosuppressive or
immune-modifying therapy or immunodeficient patients were excluded from the pivotal study. As some
of these individuals depending on the level of immunosuppression might not develop an appropriate
immune response following a two-dose regimen, further doses might be needed to achieve appropriate
protection. This is reflected in the SmPC section 4.4 and the RMP (see section 2.7) includes studies to
be conducted post-authorisation in these populations.

Co-administration with other vaccines was not investigated, hence this should be followed up post-
authorisation (see section 2.7 on RMP).

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No data on pregnant women and breastfeeding women is available as these were excluded from the
study. Dedicated studies are planned in the post-authorisation phase as indicated in the RMP (see
section 2.7).

As already mentioned in section 2.4.2, no information is available on cross-neutralisation to evaluate

whether the vaccine protects against all circulating strains. No gene sequence data on SARS-CoV-2
strains detected by RT-PCR in the mRNA-1273 vaccine or the placebo group are available. These data
are important to assess the capability of the vaccine to protect against currently circulating rare or
non-dominant strains and newly emerging variants of SARS-CoV-2 (see list of recommendations in
Annex I).

Additional efficacy data needed in the context of a conditional MA

The final clinical study report for study mRNA-1273-P301 will be submitted no later than December
2022 and is subject to a specific obligation laid down in the MA, to provide long term follow up data,
including data to confirm efficacy in subgroups or data on specific endpoints that were not yet available
at the time this assessment was carried out.

2.5.4. Conclusions on the clinical efficacy

Based on the data available for the COVID-19 vaccine developed by Moderna, a robust and high
protective vaccine efficacy against COVID-19 (94.1% CI 89.3, 96.8) was shown in individuals aged 18
years and older without evidence of prior SARS-Cov2 infection. Vaccine efficacy was consistent across
relevant subgroups including elderly subjects and subjects considered at increased risk of severe
disease due to underlying chronic disease.

It is likely that the vaccine also protects against severe COVID-19, though these events were limited in
the study and the definition of severe COVID-19 could have been more stringent from a clinical
perspective. It is presently not known if the vaccine protects against asymptomatic infection, or its
impact on viral transmission. The duration of protection is not known.

As regards a robust estimation of lower bound of the CI for VE, there remain open questions, partly
due to lack of documentation/nature of RR, partly due to some residual doubts as to case
ascertainment in the pivotal study. None of these issues are however expected to have impacted either
the reported efficacy estimates or the overall benefit profile to a degree that would raise important
concerns.

The CHMP considers the following measures necessary to address the missing efficacy data in the
context of a conditional MA:

• The final clinical study report will be submitted no later than December 2022 and is subject to
a specific obligation laid down in the MA. This will provide long-term data.

Regarding missing data to confirm efficacy in subpopulations that were not studied or whose data are
limited please refer to sections 2.7 and 3.3.

In addition, certain data should be provided as soon as they become available and are defined in
several recommendations to the applicant (see Annex I).

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2.6. Clinical safety

2.6.1. Patient exposure

The safety of mRNA-1273 has been examined in a clinical development program comprising 15,420
subjects exposed to a dose of 100 µg. 35 subjects were enrolled in the phase 1 study P101, 200 were
enrolled in the phase 2 study P201 and 15,185 (Safety Dataset, cut-off 25 November 2020) were
enrolled in the pivotal phase 3 trial P301.

In the phase 3 trial, slightly more male (52.7%) than female (47.3%) subjects were recruited, of
whom the majority was White (79.2%), followed by Black or African American (10.2%) and Asian
(4.6%). 24.8% of the recruited subjects were ≥ 65 years of age. Among subjects <65 years of age,
16.7% of the total population had risk factors for severe COVID-19. In the total study population,
subjects had the following risk factors: diabetes (9.5%), severe obesity (6.7%), significant cardiac
disease (4.9%), chronic lung disease (4.8%), liver disease (0.6%), and HIV infection (0.6%). The
majority of subjects were seronegative at baseline for SARS-CoV-19, except for 680 subjects (2.2%)
with a positive baseline serostatus (FAS). The mean BMI was 29.32 in both arms.

Among the 30,351 subjects in the safety set, 82.2% had an occupational risk for infection with SARS-
CoV-19 (e.g. health care workers [25.1%], educators or students [10.2%], retail or restaurant
operations [6.4%]).

Overall, there were no clinically meaningful differences in the treatment groups of the safety set
regarding demographics, risk factors, or SARS-CoV-2 status at baseline.

At the latest data cut-off (25 November 2020), of the 30,351 enrolled subjects (vaccine n=15,185,
placebo n=15,166), 14,715 vaccine recipients and 14,613 placebo recipients have received the second
vaccination. The median study follow-up after the second injection was 63.0 days.

Table 20 : Summary of Study Duration in Study 301 (Safety Set)

Nov 25 Dataset
mRNA-1273 Placebo Total
(N = 15185) (N=15166) (N=30351)
Number of participants, n (%)
Received first injection 15185 (100) 15166 (100) 30351 (100)
Received second injection 14715 (96.9) 14613 (96.4) 29328 (96.6)
≥ 28 days since second injection 13386 (88.2) 13297 (87.7) 26683 (87.9)
≥ 56 days since second injection 9406 (61.9) 9299 (61.3) 18705 (61.6)
Study duration from randomisation (days)
Median (min, max) 92.0+ (1+, 122+) 92.0+ (1+, 122+) 92.0+ (1+, 122+)
Study duration from first injection (days)
Median (min, max) 92.0+ (1+, 122+) 92.0+ (1+, 122+) 92.0+ (1+, 122+)
Study duration from second injection (days)a
Median (min, max) 63.0+ (0+, 97+) 63.0+ (0+, 97+) 63.0+ (0+, 97+)
Study duration from second injection in participants
who received second injection (days)
Median (min, max) 63.0+ (0+, 97+) 63.0+ (0+, 97+) 63.0+ (0+, 97+)
Abbreviations: max = maximum; min = minimum.
Notes: + indicates ongoing participants. Percentages were based on the number of participants in the Safety Set.
a Study duration from the second injection is zero days for participants who did not receive the second injection.
Source: Table 14.1.6.2, Table 14.1.6.2.1

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2.6.2. Adverse events

Adverse events are reported up to the data cut-off of 25 November 2020.

Solicited Adverse Reactions

Solicited local and systemic ARs with an onset within 7 days after each injection (i.e., the day of dosing
and 6 subsequent days) were assessed. Solicited ARs were recorded daily by the study participants
using eDiaries. The local solicited ARs included pain, erythema, swelling, and lymphadenopathy and
the general solicited ARs included fever, headache, fatigue, myalgia, arthralgia, chills, and
nausea/vomiting. Of note, lymphadenopathy was defined as localised axillary swelling or tenderness
ipsilateral to the vaccination arm. The eDiary solicited daily participant to report ARs using a structured
checklist. If an AR persisted beyond Day 7, the participant was prompted to continue to record until
resolution.

Solicited Local reactions

Solicited local ARs were reported by a majority of participants in the mRNA-1273 group and were
reported at a higher incidence in the mRNA-1273 group (92.4%) than in the placebo group (29.3%)
after any injection. The most common solicited local AR was pain, and the incidence was similar after
the first and second injection (vaccine: 83.7% post-dose 1, 88.2% post-dose 2; placebo: 17.5% post-
dose 1, 17.0% post-dose 2). The other solicited local ARs were reported at a higher incidence after the
second injection: erythema (vaccine: 2.8% post-dose 1, 8.6% post-dose 2; placebo: 0.4% after each
dose), swelling (vaccine: 6.1% post-dose 1, 12.2% post-dose 2; placebo: 0.3% after each dose), and
lymphadenopathy (vaccine: 10.2% post-dose 1, 14.2% post-dose 2; placebo: 4.8% post-dose 1, 3.9%
post-dose 2).

The majority of solicited local ARs were grade 1 to grade 2 in severity. In the mRNA-1273 group, grade
3 solicited local ARs were more common after the second injection than after the first injection (7.0%
versus 3.5%; placebo: 0.5% after each injection); the most common grade 3 solicited local AR after
the second injection was pain (604 [4.1%] participants). No grade 4 solicited local ARs were reported,
and only grade 3 pain was reported at a frequency > 2% after either injection.

The majority of the solicited local ARs in participants who received mRNA-1273 occurred within the
first 1 to 2 days after injection and generally persisted for a median of 1 to 3 days. There was a higher
incidence of participants who reported solicited local ARs that persisted beyond 7 days in the mRNA-
1273 group than in the placebo group after the first injection (2.2% versus 0.7%, respectively) and
after the second injection (2.1% versus 0.7%).

Solicited systemic reactions

Solicited systemic ARs were reported by the majority of participants in the mRNA-1273 group and were
more prevalent in the mRNA-1273 group (84.1%) than in the placebo group (53.5%) after any IP
injection. In the mRNA-1273 group, the incidence and severity of solicited systemic ARs appeared to
increase after the second injection. The solicited systemic ARs were reported with the following
incidences (PD = post-dose):

Fever (vaccine: 0.8% PD1, 15.5% PD2; placebo: 0.3% after each dose),

Headache (vaccine: 32.7% PD1, 58.6% PD2; placebo: 26.6% PD1, 23.4% PD2),

Fatigue (vaccine: 37.2% PD1, 65.3% PD2; placebo: 27.3% PD1, 23.4% PD2),

Myalgia (vaccine: 22.7% PD1, 58.0% PD2; placebo: 13.7% PD1, 12.4% PD2),

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Arthralgia (vaccine: 16.6% PD1, 42.8% PD2, placebo: 11.8% PD1, 10.8% PD2),

Nausea/vomiting (vaccine: 8.3% PD1, 19% PD2; placebo: 7.1% PD1, 6.4% PD2), and

Chills (vaccine: 8.3% PD1, 44.2% PD2; placebo: 5.8% PD1, 5.6% PD2).

The majority of solicited systemic ARs were grade 1 to grade 2 in severity. In the mRNA-1273 group,
grade 3 solicited systemic ARs were more common after the second injection than after the first
injection (15.8% versus 2.9%%; placebo: ~2% after each injection). In the mRNA-1273 group, grade
3 solicited systemic ARs after the second injection occurred at the following incidences: fever 1.4%,
headache 4.5%, fatigue 9.7%, myalgia 9%, arthralgia 5.2%, nausea/vomiting 0.1%, and chills 1.3%.
After the first injection, grade 4 solicited systemic ARs were reported by 5 participants in the vaccine
group vs. 6 participants in the placebo group. After the second injection, grade 4 events occurred in 14
vs. 3 subjects. Nearly all grade 4 events were fever >40°C, except for single reports of fatigue,
arthralgia and nausea/vomiting in the mRNA-1273 group.

The majority of the solicited systemic ARs in participants who received mRNA-1273 occurred within the
first 1 to 2 days after IP injection and generally persisted for a median of 1 to 2 days. The incidence of
participants who reported solicited systemic ARs that persisted beyond 7 days after the first injection
(vaccine: 5.8%, placebo: 5.7%) and second injection (vaccine: 5.7%, placebo: 4.9%) was comparable
between the groups.

Unsolicited AEs

Unsolicited AEs observed or reported during the 28 days after each IP injection (i.e., the day of dosing
and 27 subsequent days) were collected. Adverse events leading to discontinuation from dosing and/or
study participation, SAEs, and MAAEs (= medically attended AEs, events leading to an unscheduled
visit to a health care practitioner) are being collected through completion of the study or until
withdrawal from the study.

The incidences of unsolicited TEAEs (vaccine: 23.9%; placebo: 21.6%), severe TEAEs (1.5%; 1.3%),
and MAAEs (9.0%; 9.7%) during the 28 days after any injection were generally similar in participants
who received mRNA-1273 and those who received placebo. The most commonly reported unsolicited
AEs up to 28 Days After Any Injection (reported by at least 1% of participants in any group) were
headache (vaccine: 3.1% vs. placebo: 3.0%), cough (1.1% vs. 1.0%), oropharyngeal pain (1.0% vs.
1.3%), diarrhoea (1.2% vs. 1.1%), arthralgia (1.4% vs. 1.1%), myalgia (1.3% vs 1.2%), fatigue
(2.4% vs. 2.2%), and injection site pain (1.0% vs 0.4%).

The majority of unsolicited TEAEs were considered not related to the IP; treatment-related TEAEs were
reported in 8.2% and 4.5% of participants in the mRNA-1273 and placebo groups, respectively. Until
28 days after any vaccination, 0.5% of subjects in the mRNA-1273 group reported severe TEAEs that
were considered as treatment related (vs. 0.2% in placebo). Treatment-related MAAEs were reported
in 0.9% and 0.5% of participants in the mRNA-1273 and placebo groups, respectively.

The incidence of SAEs during the 28 days after injection was low (0.6% overall), with no notable
differences between treatment groups (0.6% for mRNA-1273 and 0.6% for placebo). Few participants
(< 0.1% for mRNA-1273 and placebo groups) reported treatment-related SAEs (Table 21).

The incidence of participants who discontinued IP due to TEAEs during the 28 days after injection was
low (0.4% overall), and discontinuations of IP due to TEAEs were less frequent in the mRNA-1273
group than in the placebo group (0.3% for mRNA-1273 and 0.5% for placebo).

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Table 21 - Summary of Unsolicited AEs up to 28 Days After Any Vaccination in Study 301
(Safety Set)

mRNA-1273 (N=15185) Placebo (N=15166)

n (%) n (%)
Unsolicited AEs regardless of relationship to study
vaccination
All 3632 (23.9) 3277 (21.6)
Severe 234 (1.5) 202 (1.3)
Fatal 2 (< 0.1) 3 (< 0.1)
Leading to discontinuation from study vaccine 50 (0.3) 80 (0.5)
Leading to discontinuation from participation in the
2 (< 0.1) 2 (< 0.1)
study
Serious 93 (0.6) 89 (0.6)
Medically-attended AEs 1372 (9.0) 1465 (9.7)

Unsolicited AEs related to study vaccination

All 1242 (8.2) 686 (4.5)
Severe 71 (0.5) 28 (0.2)
Fatal 0 0
Leading to discontinuation from study vaccine 18 (0.1) 15 (<0.1)
Leading to discontinuation from participation in the 0 0
study
Serious 6 (<0.1) 4 (<0.1)
Medically-attended AEs 140 (0.9) 83 (0.5)
Source: mRNA-1273-P301 Table 14.3.1.7.1. (data cut-off 25 Nov 2020)

Overall, also including AEs that were reported after the 28 days after any injection (until 25 November
2020), the incidences of unsolicited AEs (vaccine: 26.7%; placebo: 25.6%), severe AEs (2.0%; 1.8%),
and MAAEs (11.5%; 12.9%) increased, but the relative incidence between vaccine and placebo
remained similar to the previously described incidences. Treatment-related unsolicited AEs were
experienced by 8.3% in the mRNA-1273 group, and by 4.6 % in the placebo group overall.

In summary, the incidences of unsolicited AEs, severe AEs, serious AEs and medically-attended AEs
(regardless of severity) were comparable between vaccine and placebo.

However, there were some imbalances for certain preferred terms (PT) or system organ classes (SOC):

Until the data cut-off of 25 November 2020, 3 events of acute peripheral facial paralysis (Bell’s palsy)
were reported in the mRNA-group, compared to 1 event in the placebo group.

There were more reports of muscle spasms in the vaccine group (33 events, 0.2%) than in the control
group (19 events, 0.1%). The number of medically attended events (vaccine: 13 events, placebo: 9
events) and events considered as treatment-related by the Investigator (vaccine: 5 events, placebo: 4
events) were comparable.

There were also more events of paraesthesia (29 vaccine, 26 placebo, treatment-related: 11 vs. 7),
hypoaesthesia (12 vaccine, 8 placebo, treatment-related: 4 vs. 0) and hyperaesthesia (6 vaccine, 0
placebo, treatment-related: 5 vs. 0) in the mRNA-1273 group. However, fewer events were reported
for the PTs of pharyngeal paraesthesia (0 vaccine, 1 placebo), paraesthesia oral (2 vaccine, 4 placebo,
treatment-related: 0 vs 4) and injection site paraesthesia (2 vaccine, 3 placebo, treatment-related: 1
vs. 3). The number of medically attended events was in total smaller in the vaccine group
(paraesthesia 6 vs. 9, hypoaesthesia 2 vs. 3, hyperaesthesia 1 vs. 0) and only one subject in the
placebo group reported serious paraesthesia.

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The PT of gastroesophageal reflux disease was reported by 41 subjects (medically attended: 21
events, treatment-related: 2 events) in the vaccine group, compared to 18 subjects in the placebo
group (medically attended: 9 events, treatment-related: 0 events). Overall, the incidences of events in
the SOC of gastrointestinal disorders were similar (478 vs. 440 events).

There was an imbalance for the events of insomnia (vaccine: 17 events vs. placebo: 14 events),
abnormal dreams (5 vs. 0 events), sleep disorder (5 vs. 0 events), and nightmare (3 vs. 1 event).
However, most of the reported events had an onset on day 1 or 2 and resolved within a few days.

As described in a later section (2.6.6 Immunological events), a SMQ of hypersensitivity events

revealed a slightly higher incidence of hypersensitivity events in the vaccine group versus the placebo
group (1.5% vs. 1.1%, respectively), which was mainly driven by injection site rash (n=37 (0.2%) vs.
n=1 (<0.1%)), injection site urticaria (n=15 (<0.1%) vs. n=0) and rash (n=45 (0.3%) vs. n= 34
(0.2%)).

Based on the latest listing of autoimmune events, there is an imbalance regarding the SOC Skin and
subcutaneous tissue disorders (12 events in the vaccine group vs. 4 events in placebo, PT psoriasis 4
vs. 1). This imbalance was mainly caused by the events of alopecia (7 vs. 3) and psoriasis (4 vs. 1).
See the section “autoimmune diseases” below.

Another imbalance was noted for the SOC of hepatobiliary disorders, with 15 events in the vaccine
group, compared to 3 events in the placebo group. The disparity was mainly caused by the events of
cholelithiasis (vaccine: 6 events, placebo 1 event) and cholecystitis (vaccine: 4 events, placebo: none).
At the present time it appears likely that this imbalance is caused by chance.

An imbalance was also observed for anaemia regardless of relationship to vaccine (1 case in the
placebo group versus 10 cases in the vaccine group). This imbalance was not observed for cases of
anaemia considered vaccine related (no case in the placebo and 1 case in the vaccine group). It should
be noted that the listings of safety laboratory results submitted for the phase 1 and phase 2 trial did
not reveal cases of anaemia. Haemoglobin levels were within the normal range during all visits.

2.6.3. Serious adverse event/deaths/other significant events

Serious adverse events

Among the 30,351 subjects with a median follow-up of 63 days, the incidence of SAEs was similar in
the mRNA-1273 (1.0%, 147 events) and placebo (1.0%, 153 events) groups during the overall study
period until 25 November 2020.

However, there were some imbalances between the groups, with noticeably more subjects reporting
SAEs in the vaccine arm for the following SOCs, as described hereafter.

More serious AEs were reported in the vaccine group for the SOC of nervous system disorders (16
subjects), compared to placebo (10 subjects). In study participants who received the vaccine, 3 SAEs
of cerebrovascular accident (1 placebo), 2 SAEs of embolic stroke (none in placebo), and 1 SAE of
transient ischaemic attack (none in placebo) were reported. However, none of these events were
considered as related to vaccination by the Investigator as all subjects had a significant medical history
or increased risk for these events.

In the SOC of vascular disorders there were 2 SAEs of deep vein thrombosis in the mRNA-1273 group
(none in the placebo group). The Investigator did not consider these events as treatment related.

SOC Gastrointestinal disorders: vaccine 23 subjects vs. placebo 10 subjects; (e.g., abdominal pain
upper [3 vs. 0], nausea [3 vs. 1], colitis [2 vs. 1], diarrhoea [2 vs. 1], hiatus hernia [2 vs. 1] and

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pancreatitis [1 vs. 0]). One subject experienced serious (Grade 4) events of nausea and intractable
vomiting following the second dose of the vaccine that required hospitalisation Day 3 following dose 2.
The event resolved after 7 days. The study participant had a medical history of headaches with nausea
that led to hospitalisation in the past.

The PT of facial swelling was reported in 2 subjects in the mRNA-1273 group, compared to 1 event in
the placebo group. Of note, both subjects in the vaccine group received dermal filler injection prior to
vaccination (one subject received a Botox/modified hyaluronic acid filler combination 11 days prior
dose 2, the other subject bilateral cheek injections of hyaluronic acid 5 months prior to enrolment).
Both events resolved within a week.

The event of rheumatoid arthritis was reported once during the clinical trials. The event occurred in a
subject with a medical history of joint pain. The participant reported muscle and joint aches/pain in the
e-diary on the same day as dose 1. Approximately 10 days post-Dose 1, the participant experienced
recurrent muscle joint aches/pain. The quality of the pain was different than the joint aches/pain
previously reported, with the left knee and right shoulder bothering him the most. Approximately 29
days post-Dose 1, the participant saw a rheumatologist who noted a high level of CCP antibody and
rheumatoid factor and diagnoses included rheumatoid arthritis and lateral epicondylitis. An SMQ for
autoimmune related adverse events revealed 32 events in the vaccine group vs. 28 events in the
placebo group. At the time being, the single event of RA does not raise a concern. Autoimmune
disorders are listed as AESI in the RMP.

Treatment-related SAE

Until the data cut-off, there were 7 subjects with treatment-related SAEs in the vaccine group,
compared to 5 subjects in the placebo group. The treatment-related SAEs in the mRNA group were B-
cell small lymphocytic lymphoma, autonomic system imbalance, dyspnoea, nausea and vomiting,
rheumatoid arthritis, oedema peripheral, and two events of facial swelling. In the placebo group, the
treatment related SAEs were polymyalgia rheumatica, hypomagnesaemia, paraesthesia, acute
myocardial infarction, atrial fibrillation, organising pneumonia, pulmonary embolism, respiratory
failure, acute kidney injury, feeling hot, immunisation anxiety related reaction, procedural
haemorrhage and facial swelling. The events considered being treatment related are individual cases in
the placebo and the vaccine group. The clinical information does not allow for a robust conclusion on
relatedness or possible causality.

Deaths

Based on the pharmacovigilance database which includes data from study start through 3 December
2020, there have been 13 deaths during the study. Six participants who died received mRNA 1273 and
7 received placebo. The most common preferred term was myocardial infarction, reported by 3
participants, 2 who received placebo and 1 who received mRNA-1273. The participant who received
mRNA-1273 had a history of hypercholesterolemia and died 45 days from administration of the study
product. Another death, due to cardiopulmonary arrest, occurred 21 days after mRNA-1273 dose 1 in a
patient with a history of cerebrovascular accident. The other deaths which were reported in
participants who received mRNA-1273 included suicide, head trauma due to fall, multisystem organ
failure, and death due to unknown causes. None of the deaths were assessed by Investigator or
Sponsor as related to study product. According to the provided narratives, all subjects of the mRNA-
1273 group who died during the trial had a relevant medical history to explain the event.

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2.6.4. Laboratory findings

In the non-clinical repeat-dose toxicity studies, haematology changes included increases in white
blood cells, neutrophils, and eosinophils and decreased lymphocytes; coagulation changes included
increases in fibrinogen and activated partial thromboplastin time; and clinical chemistry changes
included decreases in albumin, increases in globulin, and a corresponding decrease in albumin/globulin
ratio. Clinical pathology changes generally reversed or were reversing by the end of the 2-week
recovery period.

Clinical safety laboratory evaluations (WBCs, Hgb, PLTs, ALT, AST, ALP, T. Bili, Cr, and Lipase)
collected immediately prior to the first vaccination served as the baseline (Day 1), and were repeated
on Days 8, 29 and 36 in the phase 1 clinical trial. Total blood volume drawn for laboratory and
immunogenicity assessments until D29 was 300mL and until D57 was a cumulative 476mL. It should
be noted that haemoglobin values in the listings of safety laboratory results in the phase 1 and the
phase 2 trial were within the normal range through all study visits and no significant decrease was
observed.

With regard to clinical chemistry, in people 18-55 YOA (n=4) and 56-70 YOA (n=1) an increase in liver
enzymes was observed in a few subjects, while in the latter (n=1) and >71 YOA group (n=3) few
increase of lipase were recorded.

No specific pattern emerges with regards to the clinical haematology and chemistry evaluation.

In the phase 2 clinical trial, blood draws were scheduled for D0, D29 and D57. Repeat draws were
done 4 weeks post-dose for each vaccination in Cohort 2 (≥ 55 years of age) only, at which point in
time potentially test-related changes were most likely already resolved.

No safety laboratory tests are foreseen for the pivotal phase 3 study as no specific concerns arose from
earlier clinical trials, which can be considered acceptable.

2.6.5. Safety in special populations

Pregnant and lactating women

In all three clinical studies, pregnant or breastfeeding women were excluded from participation and
consequently no data are available with regards to the safety profile in this subpopulation. Six
pregnancies were reported in subjects who received the study vaccine, and all six pregnancies are
progressing without complications (Data cut-off: 3 December 2020).

Elderly subjects (≥65)

A substantial proportion (n= 7520; ~25%) of the population in pivotal trial P301 was aged 65 or older.
Approximately 12% (n= 3722) of the total population was 65-69 YOA, about 8% (n=2398) was aged
70-74, about 3% (n=975) was in the age range between 75 and 79 years, and 1.4% or 425 subjects
was 80 YOA or older.

Local solicited ARs were more commonly reported by younger adults (≥ 18 to < 65 years; 87.4% and
90.5% after the first and second injection of mRNA-1273, respectively) than older adults (≥ 65 years;
74.6% and 83.9% after the first and second injection of mRNA-1273, respectively). Local solicited AES
were reported at grade 3 or 4 after the first injection by 452 (4.0%) younger vs. 77 (2.0%) older
subjects, and by 802 (7.3) younger vs. 218 (5.9) older subjects after the second injection. The median
duration of local adverse events was 2 days after the first injection and 3 days after the second
injection in both age groups.

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Systemic solicited ARs were also more commonly reported by younger adults (≥ 18 to < 65 years;
57.0% and 81.9% after the first and second injection of mRNA-1273, respectively) than older adults
(≥ 65 years; 48.3% and 71.9% after first and second injection of mRNA-1273, respectively). Systemic
solicited AEs were reported at grade 3 or 4 after the first injection by 368 (3.2%) younger subjects vs.
84 (2.2%) older subjects after the first vaccination, and by 1940 (17.7%) younger vs. 399 (10.8%)
older subjects. For systemic adverse events, the median duration after both the first and second
injection was 2 days in both age cohorts.

With regards to unsolicited AES, the rates for all TEAE are comparable for older and younger adults,
and between placebo and vaccine subjects. For treatment related TEAE, in both older and younger
adults an incidence of ~4% was observed in placebo recipients vs. an incidence of ~8% in vaccine
recipients.

In both younger and older adults, the incidence of hypersensitivity events is driven by injection site
rash, injection site urticaria and rash.

In conclusion, the observed safety profile in older adults shows fewer instances of solicited AEs and a
comparable incidence of unsolicited AEs and does not give rise to concerns.

Baseline SARS-CoV-2 Status

342 baseline seropositive subjects received the first and 230 of these subjects received the second
vaccination with mRNA-1273 in the solicited safety set. The incidence and severity of local and
systemic reactions were comparable to those observed in the baseline negative subjects and no
concerns arise with regards to reactogenicity in baseline seropositive subjects.

The incidence of unsolicited TEAE is similar for seropositive subjects in the vaccine and placebo arm
and comparable to that of seronegative subjects. No specific concerns arise in the observed safety
profile so far.

Immunocompromised Subjects

179 or 0.6% of the total population in trial P301 had a stable infection with HIV at baseline and were
randomised into the two arms of the pivotal trial P301.

The incidence of local and systemic solicited adverse reactions is comparable to that of the complete
dataset.

The incidence of unsolicited TEAE is similar for HIV+ subjects in the vaccine and placebo arm and
comparable to that in the total safety population.

No specific concerns arise in the observed safety profile so far. However, the number of such subjects
is very small, therefore no definitive conclusions can be drawn.

Subjects suffering from an Autoimmune Disease at Baseline

2455 subjects or 8% of the total population in trial P301 suffered from an autoimmune disease at
baseline and were randomised into the two arms of the pivotal trial P301.

The incidence of local and systemic solicited adverse reactions is comparable to that of the complete
dataset.

The incidence of unsolicited TEAE is similar for subjects in the vaccine and placebo arm and
comparable to that in the total safety population.

No specific concerns arise in the observed safety profile so far.

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2.6.6. Immunological events

The formation of antibodies against the SARS-CoV-2 S protein is one of the objectives of vaccination
with mRNA-1273, and available data on immunogenicity are discussed in section 2.4.2 of this report.

Hypersensitivity Events

An SMQ of hypersensitivity revealed a slightly higher incidence of all hypersensitivity events in the
vaccine group versus the placebo group (1.5% vs. 1.1%, respectively), which was driven mainly by
injection site rash (n=37 (0.2%) vs. n=1 (<0.1%)), injection site urticaria (n=15 (<0.1%) vs. n=0)
and rash (n=45 (0.3%) vs. n= 34 (0.2%)).

An SMQ of angioedema revealed a balanced incidence of 0.3% in each study arm.

Autoimmune diseases

The frequency of autoimmune related adverse events is comparable, for both arms of trial P301, with
28 (0.2%) of subjects in the placebo arm and 32 (0.2%) of subjects in the vaccine arm reporting such
events.

A further numerical imbalance is observed for the SOC skin and subcutaneous tissue disorders, which
is mainly driven by hair loss. Based on current knowledge, this is most likely due to chance.

2.6.7. Safety related to drug-drug interactions and other interactions

Study P301 was not intended to measure drug interactions or the impact of other vaccines being
administered in a close temporal relationship to mRNA-1273, based on exclusion criterion ‘Has
received or plans to receive a non-study vaccine within 28 days prior to or after any dose of IP (except
for seasonal influenza vaccine which is not permitted within 14 days before or after any dose of IP)’.

2.6.8. Discontinuation due to adverse events

In the P101 and P201 studies, no subjects terminated study participation due to an AE, while 3 subject
in phase 2 as well as 3 subjects in phase 1 did not receive the second vaccination due to an AE.

Study discontinuation due to an AE or SAE were rare in both arms in the pivotal trial P301, with rates
below 0.1% and comparable for both arms. Numerically, slightly more subjects (n=7) discontinued due
to an AE or SAE in the vaccine arm compared to the placebo arm (n=3).

With regards to AEs leading to discontinuation of the vaccine, similar small proportions of subjects in
the vaccine and placebo arms experienced such an adverse event (0.2% in both arm). With regards to
SAEs leading to discontinuation of the vaccine, again similar proportions of subjects in the vaccine and
placebo arms (<0.1%) were reported, with a numerically more subjects in the placebo arm (n=15)
compared to the vaccine arm (n=9).

Overall, no signals or specific concerns emerge from either study or IP discontinuation rates.

2.6.9. Post-marketing experience

COVID-19 Vaccine Moderna is not yet authorised in any country. An Emergency Use Authorisation was
granted in the US by the FDA on 18 December 2020.

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2.6.10. Discussion on clinical safety

Size of the Safety Database

The safety of mRNA-1273 has been examined in a clinical development program comprising 15,420
subjects exposed to a dose of 100 µg. 35 subjects were enrolled in the phase 1 study P101, 200 were
enrolled in the phase 2 study P201 and 15,179 (Safety Dataset, Cut-off 25 November 2020) were
enrolled in the pivotal phase 3 trial P301.

In the phase 3 trial, slightly more male (52.7%) than female (47.3%) subjects were recruited, of
whom the majority was White (79.2%), followed by Black or African American (10.2%) and Asian
(4.6%). 24.8% of the recruited subjects were ≥ 65 years of age. Among subjects <65 years of age,
16.7% of the total population had risk factors for severe COVID-19. In the total study population,
subjects had the following risk factors: diabetes (9.5%), severe obesity (6.7%), significant cardiac
disease (4.9%), chronic lung disease (4.8%), liver disease (0.6%), and HIV infection (0.6%). The
majority of subjects were seronegative at baseline for SARS-CoV-19, except for 680 subjects (2.2%)
with a positive baseline serostatus (FAS).

Duration of follow-up

At the 25 November 2020 data cut, 9406 (61.9%) subjects in the mRNA-1273 group of the pivotal trial
were followed for ≥56 days since the second injection. The median study duration from the second
injection was 63.0 days.

Participants in the clinical trials will be followed until 24 months after the second dose (P301) or 12
months after the second dose (P201, P101). Long-term safety is considered as missing information in
the RMP so the final clinical study reports are required, and a PASS will be conducted post-
authorisation.

Solicited Adverse Events

Solicited Local Adverse Reactions

The adverse reactions of injection site pain, erythema, injection site swelling (hardness) and
lymphadenopathy are typical local reactions that may occur after vaccinations. These adverse reactions
were more often reported in the mRNA-1273 group (92.4%) compared to injection of a saline solution
(29.3%).

The reactogenicity in the vaccine group was generally higher after the second injection for all reported
local reactions. The most common solicited local AR was pain (vaccine: 83.7% post-dose 1, 88.2%
post-dose 2; placebo: 17.5% post-dose 1, 17.0% post-dose 2). The other solicited local ARs were:
erythema (vaccine: 2.8% post-dose 1, 8.6% post-dose 2; placebo: 0.4% after each dose), swelling
(vaccine: 6.1% post-dose 1, 12.2% post-dose 2; placebo: 0.3% after each dose), and
lymphadenopathy (vaccine: 10.2% post-dose 1, 14.2% post-dose 2; placebo: 4.8% post-dose 1, 3.9%
post-dose 2).

The majority of solicited local ARs were grade 1 to grade 2 in severity. Grade 3 events were reported in
3.5% of the subjects after the first injection, and 7.0% after the second injection. The mean duration
of solicited local adverse reactions after any injection was 3.4 days (SD 3.08) in the mRNA-1273 group
compared to 2.1 days (SD 3.67) in the placebo group. After any injection, the number of subjects
reporting solicited local adverse events that persisted beyond 7 days was 579 (3.8%) in the mRNA-
1273 group vs. 204 events (1.3%) in the placebo group. These numbers were mainly driven by
subjects reporting Lymphadenopathy (301 subjects (2.0%) in the mRNA-1273 group, 95 subjects

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(0.6%) in the Placebo group) and pain (227 subjects (1.5%) mRNA-1273 group, 103 subjects (0.7%)
in the placebo group).

Of note, the event of Lymphadenopathy was defined as local axillary swelling or tenderness ipsilateral
to the vaccination arm. The mean duration of these axillary swellings after any injection was similar
between the mRNA-1273 (mean 2.4 (SD 3.21), median 1.0) and the placebo group (mean 2.3 days
(SD 4.23), median 1.0). The incidence of Grade 3 Lymphadenopathy after the second injection was
0.5% (67 subjects) in the vaccine group compared to 0.1% (19 subjects) in the control group. The
median duration of severe (grade 3) axillary swelling after the second dose was 1.0 days (range 1, 15)
and 1.0 days (range 1, 6), as reported by participants who received mRNA-1273 or placebo,
respectively.

Solicited Systemic Adverse Reactions

The incidence of solicited systemic adverse reactions was generally higher in the mRNA-1273 group
and the difference between vaccine and control group was especially increased after the second
injection (incidence mRNA-1273: 79.4% vs. Placebo: 36.5%).

While fever was reported in only 115 (0.8%) subjects after receiving the first dose of mRNA-1273
(Placebo: 44 subjects, 0.3%), this number increased to 2278 (15.5%) subjects (Placebo: 43 subjects,
0.3%) after the second dose. The incidence of grade 3 (39°C – 40°C) or grade 4 (> 40°C) events
combined after dose 2 of the vaccine was 1.4% (215 subjects), compared to <0.1% (5 subjects) in the
placebo group.

The incidence of nausea/vomiting after dose 1 was relatively similar between mRNA-1273 (8.3%) and
placebo (7.1%). However, after dose 2 the incidence was nearly 3-fold higher in the vaccine group
(19.0%) vs. the placebo group (6.4%).

After the first injection, 8.3% of the subjects in the mRNA-1273 group reported chills, compared to
5.8% in the placebo group. The prevalence of chills after the second injection did strongly increase in
the mRNA-1273 group (44.2%), while less events were reported in the placebo group (5.6%).

The incidence of the other solicited systemic adverse reactions after the second mRNA-1273 injection
was also high, with arthralgia reported in 42.8%, myalgia in 58.0%, headache in 58.6%, and fatigue in
65.3% of the subjects.

Severe solicited systemic events (Grade 3) occurred in 2325 subjects (15.8%) after the second
vaccination with mRNA-1273. This number was mainly driven by the events of fatigue, myalgia,
arthralgia and headache.

The majority of solicited systemic events after the second dose occurred within the first two days. The
mean duration of solicited systemic events after any injection was 3.5 days (SD 4.98) in the mRNA-
group, compared to 3.6 days (SD 5.55) in the placebo group. The median duration was either 1.0 or
2.0 days for all events, regardless of treatment group. The incidence of solicited systemic events
persisting beyond 7 days was 9.9% (1498 subjects) for mRNA-1273 vs. 8.9% (1348 subjects) for
placebo.

In summary, there was a pronounced reactogenicity for both local and systemic adverse reactions,
particularly after the second vaccination with mRNA-1273. However, most of the events were grade 1
or 2 in severity and resolved within a few days.

Unsolicited Adverse Events

The prevalence of all unsolicited AEs up to 28 Days after any vaccination was comparable between the
treatment groups (mRNA-1273: 3632 events = 23.9%; Placebo: 3277 events = 21.6%). Regarding

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treatment-related unsolicited AEs, there is a difference between the groups (mRNA-1273: 1242 events
= 8.2%; Placebo: 686 events = 4.5%). The applicant states that the difference appears to result from
solicited ARs that were assessed as severe or required medical attention. However, these events can
only explain part of the relative and absolute difference between unsolicited treatment-related events.

The incidences of severe, serious and medically-attended unsolicited AEs up to 28 days after any
vaccination (regardless of severity) were similar between vaccine and placebo.

However, there were some imbalances for certain preferred terms (PT) or system organ classes (SOC):

Three events of acute peripheral facial paralysis (Bell’s palsy) were reported in the mRNA-group,
compared to 1 event in the placebo group. While the incidence is relatively low (0.02%), a possible
causal relationship to vaccination cannot be excluded, due to a close temporal connection of two
events after dose 2 and the fact that this event was reported at a similar rate during the clinical trials
of another mRNA vaccine against COVID-19. Therefore, the event of acute peripheral facial
paralysis/Bell’s palsy is included in section 4.8 of the SmPC with a frequency of “rare” and will be
followed up as an AESI in the ongoing phase 3 trial.

There were more reports of muscle spasms in the vaccine group (33 events, 0.2%) than in the control
group (19 events, 0.1%). The number of medically-attended events (vaccine: 13 events, placebo: 9
events) and events considered as treatment-related by the Investigator (vaccine: 5 events, placebo: 4
events) were comparable. Therefore, no concern is raised.

There were also more events of paraesthesia (29 vaccine, 26 placebo, treatment-related: 11 vs. 7),
hypoaesthesia (12 vaccine, 8 placebo, treatment-related: 4 vs. 0) and hyperaesthesia (6 vaccine, 0
placebo, treatment-related: 5 vs. 0) in the mRNA-1273 group. However, fewer events were reported
for the PTs of pharyngeal paraesthesia (0 vaccine, 1 placebo), paraesthesia oral (2 vaccine, 4 placebo,
treatment-related: 0 vs 4) and injection site paraesthesia (2 vaccine, 3 placebo, treatment-related: 1
vs. 3). The number of medically attended events was in total smaller in the vaccine group
(paraesthesia 6 vs 9, hypoaesthesia 2 vs. 3, hyperaesthesia 1 vs. 0) and only one subject in the
placebo group reported serious paraesthesia. While the overall imbalance for these adverse events is
noted, the totality of data does not suggest a safety signal.

The PT of gastroesophageal reflux disease was reported by 41 subjects (medically attended: 21

events, treatment-related: 2 events) in the vaccine group, compared to 18 subjects in the placebo
group (medically attended: 9 events, treatment-related: 0 events). Overall, the incidences of events in
the SOC of gastrointestinal disorders were similar (478 vs. 440 events) and currently it seems
biologically not plausible that the vaccine would cause reflux. Routine post-marketing
pharmacovigilance surveillance is considered sufficient.

There was an imbalance for the events of insomnia (vaccine: 17 events vs placebo: 14 events),
abnormal dreams (5 vs. 0 events), sleep disorder (5 vs. 0 events), and nightmare (3 vs. 1 event).
However, most of the reported events had an onset on day 1 or 2 and resolved within a few days. It is
considered likely that these events are secondary effects of solicited reactions like fever, myalgia or
chills.

There was an imbalance for some events of the SOC of Nervous system disorders: cerebrovascular
accident (4x vaccine vs. 1x placebo), embolic stroke (2x vaccine, 0x placebo) and transient ischaemic
attack (2x vaccine vs. 1x placebo). Several of these events were considered as serious (3x
cerebrovascular accident, 1x transient ischaemic attack, and 2x embolic stroke). For further details
please see the paragraph on SAEs below.

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Another imbalance was noted for the SOC of hepatobiliary disorders, with 15 events in the vaccine
group, compared to 3 events in the placebo group. The disparity was mainly caused by the events of
cholelithiasis (vaccine: 6 events, placebo 1 event) and cholecystitis (vaccine: 4 events, placebo: none).
At the present time it appears likely that this imbalance is caused by chance.

Serious Adverse Events and Deaths

Serious Adverse Events

The incidence as well as the number of reported serious TEAE were low and similar between both
groups. However, there were some imbalances for certain preferred terms (PT) or system organ
classes (SOC) among the number of subjects reporting serious unsolicited adverse events.

More serious AEs were reported in the vaccine group for the SOC of nervous system disorders (16
events), compared to placebo (10 events). Of the study participants that received the vaccine, there
were 3 SAEs of cerebrovascular accident (1x placebo), 2 SAEs of embolic stroke (none in placebo), and
1 SAE of transient ischaemic attack (none in placebo). Of note, there were 2 reports of deep vein
thrombosis in the mRNA-1273 group (none in the placebo group). However, none of these events were
considered as related by the Investigator. The applicant provided detailed background information for
the events of stroke and transient ischaemic attack from which is evident that all subjects had a
significant medical history or increased risk for these events. Though no concerns were raised from the
submitted clinical information, the current list of adverse events of special interest (AESI) in the RMP
includes the events of stroke and coagulation disorders (including deep vein thrombosis and
cerebrovascular accident) because of the numerical imbalance, and will provide post-marketing
surveillance of these diseases. This approach is endorsed by the CHMP.

The PT of facial swelling was reported in 2 subjects in the mRNA-1273 group, compared to 1 event in
the placebo group. Of note, both events in the vaccine group were considered as serious and both
subjects received dermal filler injection prior to vaccination. Both events resolved within a week. These
events are reflected in section 4.8 of the SmPC due a reasonable possibility of causal relationship.

At the time of the latest data cut-off (25 November 2020), there were single events of anaphylaxis in
each treatment group, but without a temporal connection to injection. There have been no other cases
of severe hypersensitivity or anaphylactic reactions reported immediately after vaccination in the trial
to date. However, there was one post-marketing report of anaphylaxis during vaccination campaigns in
an individual with a severe shellfish allergy. The applicant provided information about two further cases
of possible hypersensitivity. These cases, based on rather limited clinical information, currently do not
appear to meet Brighton Collaboration Anaphylaxis Case Definition criteria. The two cases have
entered case processing and efforts will be made to contact the reporter to obtain additional
information. Anaphylaxis must be included as important identified risk in the RMP, because of the
confirmed case mentioned above. The event was included in sections 4.4 and 4.8 of the SmPC
(frequency not known).

Treatment-related SAE

Until the data cut-off, there were 7 subjects with treatment-related SAEs in the vaccine group,
compared to 5 subjects in the placebo group. The treatment-related SAEs in the mRNA group were B-
cell small lymphocytic lymphoma, autonomic system imbalance, dyspnoea, nausea, vomiting,
rheumatoid arthritis, oedema peripheral, and two events of facial swelling. In the placebo group, the
treatment related SAEs were polymyalgia rheumatica, hypomagnesaemia, paraesthesia, acute
myocardial infarction, atrial fibrillation, organising pneumonia, pulmonary embolism, respiratory
failure, acute kidney injury, feeling hot, immunisation anxiety related reaction, procedural
haemorrhage and facial swelling. It should be noted that the events considered as being treatment

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related are individual cases in the placebo and the vaccine group. The clinical information does not
allow for a conclusion on relatedness or possible causality.

Deaths

There were 13 patients who died during the Phase 3 trial, with 6 fatalities in the mRNA-1273 group,
compared to 7 in the placebo group. None of the above reported deaths were considered related to
vaccination. According to the provided narratives, all subjects of the mRNA-1273 group who died
during the trial had a relevant medical history to explain the event.

Safety in special populations

Pregnant and lactating women

No conclusive data are available for use of the mRNA-1273 vaccine during pregnancy. This is a missing
information in the RMP and was reflected in the SmPC section 4.6. Twelve pregnancies have been
reported in study P301, of which 6 in subjects who received the study vaccine and 6 in the placebo. As
of 11 November 2020, all 6 pregnancies in the vaccine group were ongoing with no reported
complications. In the placebo group, one participant was lost to follow up and the pregnancy outcome
is not known. For the 2 pregnancies with known outcome in the placebo group, the following was
reported:

• One participant experienced a spontaneous abortion at approximately 7 gestation weeks;

• One participant had an elective abortion at approximately 6 gestation weeks.

Elderly subjects (≥65)

A substantial proportion (n= 7520; ~25%) of the population in pivotal trial P301 was aged 65 or older:
Approximately 12% (n= 3722) of the total population were 65-69 years old, about 8% (n=2398) were
aged 70-74, about 3% (n=975) were in the age range between 75 and 79 and 1.4% or 425 subjects
were 80 or older.

Trial participants aged 65 or older experienced local and systemic solicited adverse events at a lower
frequency than their younger counterparts. Similarly, a lower proportion of older subjects experienced
solicited AEs of grade 3 or 4 than the adults below 65. The median duration of local adverse events
was 2 days after the first injection and 3 days after the second injection in both age groups. For
systemic adverse events, the median duration after both the first and second injection was 2 days in
both age cohorts.

With regards to unsolicited AES, the rates for all TEAE are comparable for older and younger adults,
and between placebo and vaccine subjects. For treatment related TEAE, in both older and younger
adults an incidence of ~4% was observed in placebo recipients vs. an incidence of ~8% in vaccine
recipients.

In both younger and older adults, the incidence of hypersensitivity events is driven by injection site
rash, injection site urticaria and rash.

In conclusion, the observed safety profile in older adults shows fewer instances of solicited AEs and a
comparable incidence of unsolicited AEs and does not give rise to concerns.

Baseline SARS-CoV-2 Status

680 participants were seropositive at baseline and were randomised into the two trial arms. 342
baseline seropositive subjects received the first and 230 of these subjects received the second
vaccination in the solicited safety set. The incidence and severity of local and systemic reactions were

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comparable to those observed in the baseline negative subjects and no concerns arise with regards to
reactogenicity in baseline seropositive subjects.

The incidence of unsolicited TEAE is similar for seropositive subjects in the vaccine and placebo arm
and comparable to that of seronegative subjects. No specific concerns arise in the observed safety
profile so far.

Immunocompromised Subjects

179 or 0.6% of the total population in trial P301 had a stable infection with HIV at baseline and were
randomised into the two arms of the pivotal trial P301. The incidence of local and systemic solicited
adverse reactions is comparable to the total safety population, and the frequency of unsolicited TEAE is
similar for HIV+ subjects in the vaccine and placebo arm and comparable to that in the total safety
population. No specific concerns arise in the observed safety profile so far. However, the number of
such subjects is very small, therefore no definitive conclusions can be drawn.

Subjects Suffering from an Autoimmune Disease at Baseline

2455 subjects or 8% of the total population in trial P301 suffered from an autoimmune disease at
baseline and were randomised into the two arms of the pivotal trial P301. The incidence of local and
systemic solicited adverse reactions in these subjects is comparable to that of the total safety
population. The incidence of unsolicited TEAE is similar for subjects in the vaccine and placebo arm and
comparable to that in the total safety population. No specific concerns arise in the observed safety
profile at this point in time.

Immunological Events

Subjects with a known or suspected allergy or history of anaphylaxis, urticaria, or other significant
adverse reaction to the vaccine or its excipients were excluded from the pivotal trial, while subjects
with a history of allergy or anaphylaxis against other substances were not excluded from participation.

A slightly higher incidence of all hypersensitivity events was reported in the vaccine group versus the
placebo group (1.5% vs. 1.1%, respectively), which was driven mainly by injection site rash (n=37
(0.2%) vs. n=1 (<0.1%)), injection site urticaria (n=15 (<0.1%) vs. n=0) and rash (n=45 (0.3%) vs.
n= 34 (0.2%)). These events were added to section 4.8 of the SmPC, because a causal relationship
with vaccination can be considered as very likely.

The frequency of autoimmune related adverse events is comparable, for both arms of trial P301, with
28 (0.2%) of subjects in the placebo arm and 32 (0.2%) of subjects in the vaccine arm reporting such
events.

A further numerical imbalance is observed for the SOC skin and subcutaneous tissue disorders, which
is mainly driven by hair loss. It is concluded that, at the present level of information, this is most likely
due to chance.

Concomitant Administration of Other Vaccines

No specific interaction studies with other vaccines have been performed and due to the exclusion
criteria in the mRNA-1273 clinical program no experience exists with vaccines within 28 days prior to
the first dose or any dose of mRNA-1273 except for seasonal influenza vaccine <14 days. A non-
interventional study is planned in the RMP which will inform on the concomitant administration with
non COVID vaccines e.g. seasonal flu.

Vaccine-Enhanced Disease (VAED)

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The potential risk of VAED was assessed in non-clinical animal models in mice and non-human
primates and raised no concerns based on a Th1 skewed type of immune response (see section 2.3).

In the pivotal trial, up to the data cut-off, 30 cases of severe COVID-19 were reported in the placebo
group, while 0 case was reported in the vaccine group, providing no signal for a possible disease
enhancement after vaccination with mRNA-1273.

Generally, it cannot be foreseen whether potential future mutations of the SARS-CoV-2 virus may lead
to a reduced susceptibility to the neutralising antibodies induced by vaccination with mRNA-1273.
Therefore, even though the currently available data (non-clinical, clinical, neutralising capacity of
antibodies) do not raise a concern at the time being, the possibility of enhanced disease cannot be
excluded with certainty. The current version of the RMP lists vaccine-associated enhanced respiratory
disease as a safety concern and an important potential risk. The applicant will report any COVID 19
cases requiring hospitalisation and provide monthly safety updates including numbers of and
information about relevant cases.

Additional safety data needed in the context of a conditional MA

The final clinical study report for study mRNA-1273-P301 will be submitted no later than December
2022 and is subject to a specific obligation laid down in the MA, in order to allow a comprehensive
safety assessment on long-term data and more data in specific subpopulations, e.g. elderly.

2.6.11. Conclusions on the clinical safety

The safety evaluation of mRNA-1273 is based mainly on the ongoing Phase 3 study P301. At the latest
data cut-off (25 November 2020), 30,351 subjects were enrolled (vaccine = 15,185, placebo
=15,166), of whom 14,715 subjects in the vaccine arm and 14,613 subjects in the placebo arm have
received the second dose of the respective treatment. The median study follow-up after the second
injection was 63.0 days.

There was pronounced reactogenicity observed for both local and systemic adverse reactions,
particularly after the second vaccination with mRNA-1273. However, most of the events were grade 1
or 2 in severity and resolved within a few days (median 1-3 days).

The incidences of severe, serious and medically-attended unsolicited AEs were similar between vaccine
and placebo recipients. However, there were some imbalances for events such as facial swelling, acute
peripheral facial paralysis, or certain hypersensitivity events (injection site urticaria, rash).

From the safety database all the adverse reactions reported in clinical trials have been included in the
Summary of Product Characteristics appropriately.

In conclusion, the observed safety profile is considered favourable. Longer term safety data is awaited
from the ongoing clinical trials.

There are very limited data on the use of the vaccine in immunocompromised individuals and on use in
pregnancy and breastfeeding. No data was generated with mRNA-1273 when administered
concomitantly with other vaccines.

The CHMP considers the following measures necessary to address the missing safety data in the
context of a conditional MA:

• The final clinical study report will be submitted no later than December 2022 and is subject to
a specific obligation laid down in the MA. This will provide long-term data.

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Regarding missing data to confirm safety in subpopulations that were not studied or whose data are
limited please refer to section 2.7.

2.7. Risk Management Plan

Safety specification
Summary of safety concerns
The applicant has submitted an RMP including the following summary of safety concerns:

Important identified risks Anaphylaxis

Important potential risks Vaccine-associated enhanced disease (VAED) including vaccine-

associated enhanced respiratory disease (VAERD)

Missing information Use in pregnancy and while breast-feeding

Long-term safety

Use in immunocompromised subjects

Interaction with other vaccines

Use in frail subjects with unstable health conditions and co-

morbidities (e.g. chronic obstructive pulmonary disease (COPD),
diabetes, chronic neurological disease, cardiovascular disorders)

Use in subjects with autoimmune or inflammatory disorders

Risks considered important for inclusion of the summary of safety concerns

The review of available safety data, including post-marketing data emerging from use in the US, the
experience with biological products and other vaccines leads to the conclusion that anaphylaxis is an
important identified risk for COVID-19 Vaccine Moderna. This safety concern will be followed up via
routine pharmacovigilance activities and in the planned and ongoing safety studies and reported in the
monthly summary safety reports and PSURs.

Any important potential risks that may be specific to vaccination for COVID-19 (e.g. vaccine-associated
enhanced disease including vaccine-associated enhanced respiratory disease) should be taken into
account. The applicant has included VAED/VAERD as an important potential risk and will further
investigate it in the ongoing pivotal study and post-authorisation safety studies.

Missing information

Since pregnant and breast-feeding women were excluded from the study, no information is available
for those populations. It is agreed to include use in pregnancy and while breast-feeding as missing
information in the RMP and collect information via the EU safety study and the Pregnancy Outcome
Study.

At the data cut-off of 21 December 2020, 9 weeks safety data are available (median study follow-up
after the second injection). Thus, long-term safety is included as missing information and will be
characterised as part of the continuation of the pivotal clinical trial and the phase 1 trial and the PASS.

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Interaction with other vaccines has not been evaluated in clinical trials and may be of interest to
prescribers. As elderly individuals will be one target group for vaccination, and they often may need
vaccination with other vaccines such as influenza vaccines, further data is requested. The applicant
commits to study concomitant use with other vaccines as part of the EU PASS study and the
effectiveness study.

in frail subjects with unstable health conditions and co-morbidities is limited, and it is desirable to
gather further data in these groups. Therefore, use in frail subjects with unstable health conditions and
co-morbidities (e.g. chronic obstructive pulmonary disease (COPD), diabetes, chronic neurological
disease, cardiovascular disorders) has been included as missing information in the RMP. Furthermore,
information is limited on the use in subjects with autoimmune or inflammatory disorders, as well as in
immunocompromised subjects. Therefore, these groups are also included as missing information. Such
missing information will be collected in the post-authorisation safety and effectiveness studies included
in the pharmacovigilance plan.

Risks not considered important for inclusion in the summary of safety concerns

The reactogenicity is in line with what can be expected from a vaccine. Additionally, no adverse
reactions were reported in clinical trials due to aspects related to the pharmaceutical formulation. The
mRNA degradation products are not expected to represent functionally active mRNA molecules and
they are naturally metabolised and are considered pharmacologically inactive. It is therefore
considered acceptable to not include those events in the list of safety specifications.

Pharmacovigilance plan
Routine pharmacovigilance activities

Routine pharmacovigilance activities beyond the receipt and review and submission of ADRs include:

• Signal detection activities for the lifecycle of vaccines consist of individual AE assessment at
case receipt, regular aggregate review of cases for trends and statistically disproportionately
reported product-adverse event pairs. The MAH will perform ongoing monitoring of individual
cases of Suspected Unexpected Serious Adverse Reaction, safety concerns, and Adverse Events
of Special Interest and weekly aggregated review of AE cases for trend analyses. This will be
complemented by review of disproportionate reporting of preferred terms during a time
interval as compared to all data prior to the period. The MAH will perform biweekly review of

reports in the EudraVigilance data analysis system using available reports and review of data
from US Vaccine Adverse Event Reporting System together with the generation of
disproportionality scores using Empirical Bayesian Geometrical Mean and its 90% confidence
intervals.

• Routine signal detection activities for COVID-19 Vaccine Moderna will include routine and
specific review of AEs consistent with the AESI list provided in the RMP.

• In addition, observed versus expected analyses will be conducted as appropriate as part of

pharmacovigilance activities.

• In addition, published literature will be reviewed weekly for individual case reports and
broader signal detection purposes.

• Ongoing review of data for the product and similar products published on the Safety
Web Portals of selected major regulatory agencies to detect and further investigate
potential signals being raised in other areas outside the EU.

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 • Specific adverse reaction follow-up questionnaires intended to capture clinical details about
the nature and severity of COVID-19 illness or in relation to potential cases of vaccine lack of
effect or VAED and/or AESI associated with COVID-19 disease, and to gather detailed
information on cases of anaphylaxis.

• In addition to routine 6-monthly PSUR submission, monthly summary safety reports will be
compiled and submitted to EMA, to support timely and continuous benefit risk evaluations
during the pandemic. Minimum data to be submitted include:

o Interval and cumulative number of reports, stratified by report type (medically

confirmed/not) and by seriousness (including fatal separately)
o Interval and cumulative number of reports, overall and by age groups and in special
populations (e.g., pregnant women)
o Interval and cumulative number of reports per HLT and SOC
o Summary of the designated medical events
o Reports per EU country
o Exposure data (lot distribution data total and per country)
o Changes to reference safety information in the interval, and current CCDS
o Ongoing and closed signals in the interval
o AESI and RMP safety concerns: reports - numbers and relevant cases, including O/E
analyses
o Fatal reports -numbers and relevant cases, including O/E analyses
o Risk/benefit considerations
• The need and frequency of submission of the summary safety reports will be re-evaluated
based on the available evidence from post-marketing after 6 months (6 submissions).

• The proposed routine pharmacovigilance activities are considered appropriate for the safety
profile of the product and the pandemic circumstances.

Traceability

Full traceability is crucial for pharmacovigilance purposes should assessment of a safety signal need to
be performed by batch/lot.

The applicant’s proposal to ensure traceability include:

• SmPC instructions for healthcare professionals to record the name and batch number of the
administered vaccine to improve traceability

• vaccine carton labelling containing a scannable 2D barcode that provides the batch/lot

• number and expiry date

• additional tools for vaccinators to record manufacturer and lot/batch information at the time of
vaccination including a Traceability and Vaccination Reminder Card provided printed to
vaccinators (as well as available electronically), and peel-off labels (stickers with brand name
and lot/batch numbers as well as a scannable 2D code with this information), acknowledging
that each Member State will decided if and how the tools will be used, in accordance with the
national provisions for pharmacovigilance.

Each shipment to a vaccination site should be accompanied with a sufficient number of corresponding
vaccinee traceability and vaccination reminder cards; the lot/batch numbers will be for the first batches
distributed copied manually by the vaccinators, with the applicant’s commitment that by 28 February
2021 all batches shipped will be accompanied at the receipt point in the Member States by sufficient
peel-off labels to facilitate the recording of brand name and lot/batch number both in the vaccinators’
records and the vaccinee traceability and vaccination reminder cards, where the Member States will
require it.

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EMA/15689/2021 Page 129/169
The Traceability and Vaccination Reminder will include:

• Placeholder space for name of vaccinee;

• Vaccine brand name and MAH name;

• Placeholder space for due date and actual date of first and second doses, and associated
batch/lot number;

• Reminder to retain the card and bring to the appointment for the second dose of the vaccine;

• QR code that links to a website with additional information on product use; and

• Adverse event reporting information.

Additional pharmacovigilance activities

The applicant proposed eight studies to identify and characterise the risks of the product – six in the
US, one in the EU and one in the EU, US and Canada. Four studies are interventional, including the
three ongoing clinical trials and a study in immunocompromised subjects and four studies are non-
interventional by design, including 3 for safety and 1 on effectiveness.

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EMA/15689/2021 Page 130/169
 Study Title and Summary of Safety Concerns Milestones Due Dates
categories Objectives Addressed
Status

Category 2 – Imposed mandatory additional pharmacovigilance activities which are Specific

Obligations in the context of a conditional marketing authorisation under exceptional circumstances

Phase 3, Evaluate long term Vaccine-associated Interim 30 June 2021

Randomized, safety data and enhanced disease CSR
Stratified, Observer- durability of vaccine (VAED) including
Blind, Placebo- effectiveness (VE) vaccine-associated
Controlled Study to enhanced respiratory
Evaluate the Efficacy, disease (VAERD) Final CSR 31 December
Safety, and 2022
Anaphylaxis
Immunogenicity of
mRNA-1273 SARS- Long term safety
CoV-2 Vaccine in
Adults Aged 18 Years
and Older

Study Status:
Ongoing

Category 3 – Required pharmacovigilance activities

Phase I, Open-Label, Safety and Anaphylaxis Interim 1 March 2021

Dose-Ranging Study reactogenicity of a CSR
Long term safety
of the Safety and 2-dose vaccination
Immunogenicity of schedule 28 days
2019-nCoV Vaccine apart, at different
(mRNA-1273) in dose levels.
Healthy Adults Final CSR 01 November
IgG ELISA at Day 57.
Neutralizing Ab using 2022
different assays,
Study status:
SARS-CoV-2 spike-
Ongoing
specific T-cell
responses. Follow up
period extended by
an additional 12
months for 24
months follow up
total after the second
dose. Assessment of
a booster dose

Phase 2a, Safety and Anaphylaxis Interim 1 March 2021

Randomized, reactogenicity and CSR
Observer-Blind, immunogenicity of 2
Placebo-Controlled, dose levels 50 and
Dose-Confirmation 100 µg administered
Study to Evaluate the as 2 doses 28 days
Safety, apart. Final CSR 18 November
Reactogenicity, and 2021
Follow up period
Immunogenicity of
extended by 6
mRNA-1273 SARS-
months for a total of
over 12 months in

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EMA/15689/2021 Page 131/169
 Study Title and Summary of Safety Concerns Milestones Due Dates
categories Objectives Addressed
Status
CoV-2 Vaccine in those that receive
Adults ≥18 Years vaccine/booster

Study status:
Ongoing

Safety and Evaluate the safety Anaphylaxis Protocol 05 Feb 2021

Immunogenicity of and reactogenicity of submission
Use in
mRNA-1273 SARS- the vaccine in
immunocompromised
CoV-2 Vaccine in immunocompromised
subjects
Immunocompromised adults Interim 31 March
Adults Aged 18 Years Report 2022
Evaluate the
and Older
immunogenicity of
the vaccine in
Final CSR 31 Jan 2023
immunocompromised
Study status:
adults
Planned

Post-Authorisation Enhanced Anaphylaxis Protocol 31 January

Safety of SARS-CoV- pharmacovigilance submission 2021
Vaccine-associated
2 mRNA-1273 study to provide
enhanced disease
Vaccine in the US additional evaluation
(VAED) including
of AESI and
vaccine-associated
emerging validated
enhanced respiratory
Study status: safety signals. The
disease (VAERD)
Planned study has three core
Interim 30 Apr 2021,
objectives: Long-term safety
updates 31 July 2021,
-Estimation of AESI and emerging 31 October
background rates for validated safety 2021, 31 Jan
AESI and other signals. 2022, 30 Apr
outcomes in the 2022, 31 July
cohort 2022, 31
-Assessment of October 2022,
observed versus 31 December
expected rates 2022

-Self-controlled risk
interval analyses for
Final study 30 June 2023
adverse events that
report
meet specific
threshold criteria

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EMA/15689/2021 Page 132/169
 Study Title and Summary of Safety Concerns Milestones Due Dates
categories Objectives Addressed
Status
Feasibility 31 January
Post-Authorization Enhanced Anaphylaxis
assessment 2021
Active Surveillance pharm acovigilance Vaccine-associated
Safety Study Using study to provide enhanced disease
Secondary Data to additional (VAED) including
Monitor Real-World evaluation of AESI Protocol 31 March
vaccine-associated
Safety of the mRNA- and em erging submission 2021
enhanced respiratory
1273 Vaccine in the validated safety disease (VAERD)
EU signals in European Use in pregnancy and
populations. while breast-feeding Interim 30 June 2021,
Study status: Updates 30 September
Long-term safety 2021,
Planned
Electronic database Interaction with other 31 December
assessment of use vaccines 2021, 31
in pregnant women March 2022,
Use in frail subjects 30 June 2022,
with unstable health
30 September
conditions and co-
2022, 31
morbidities (e.g. December
chronic obstructive
2022, 31
pulmonary disease
March 2023,
(COPD), diabetes, 30 June 2023
chronic neurological
disease,
Final study 31 December
cardiovascular
report 2023
disorders)
Use in subjects with
autoimmune or
inflammatory
disorders

Moderna mRNA-1273 Evaluate outcomes Use in pregnancy and Protocol 31 Jan 2021
Observational of pregnancies in while breast-feeding submission
Pregnancy Outcome fem ales exposed to
Study m RNA-1273 vaccine
during pregnancy Interim 31 July 2021,
updates 31 Jan 2022,
Study status: 31 July 2022,
Planned 31 Jan 2023,
3, 31 July
2023, 31 Jan
2024

Final study 30 June 2024

report

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EMA/15689/2021 Page 133/169
 Study Title and Summary of Safety Concerns Milestones Due Dates
categories Objectives Addressed
Status
Protocol 01 March
Real-world study to Evaluate the real- Use in
submission 2021
evaluate mRNA-1273 world effectiveness immunocompromised
effectiveness and and long-term subjects
long-term effectiveness of Interaction with other Interim
effectiveness in the mRNA-1273 in vaccines updates 01 Aug 2021,
U.S. preventing COVID-19
Use in frail subjects 01 Nov 2021,
and severe COVID-
with unstable health 01 Feb 2022,
19 disease.
Study Status: conditions and co- 01 Nov 2022,
Planned -Effectiveness morbidities (e.g. 01 May 2023,
stratified by age, chronic obstructive 01 Nov 2023
sex, race/ethnicity, pulmonary disease
comorbid conditions. (COPD), diabetes, Final study 30 June 2025
-Effectiveness of two chronic neurological report
doses of vaccine in disease,
preventing COVID-19 cardiovascular
among disorders),
immunocompromised Use in subjects with
patients. autoimmune or
-Frail individuals and inflammatory
participants with disorders,
autoimmune and
inflammatory
disorders will be
evaluated to the
extent that it is
feasible. Considering
current Advisory
Committee on
Immunization
Practice
recommendations to
not co-administer
other adult vaccines
(e.g., seasonal flu
vaccine) in
participants,
Moderna will
evaluate this
schedule as possible.
-Durability of one or
two doses of
COVID19 Vaccine
Moderna against
COVID-19 and
severe COVID-19
disease will also be
assessed.

Non-Interventional Post-Approval Safety Studies (4)

• The applicant proposed 4 studies of real-world safety and effectiveness of COVID-19 mRNA
vaccine that use multiple data sources and study designs.

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EMA/15689/2021 Page 134/169
 • Post Authorisation Safety of SARS-CoV-2 mRNA-1273 Vaccine in the US
US non-interventional active safety surveillance study for individuals who receive the Moderna
mRNA-1273 SARS-CoV-2 Vaccine. The study will use secondary medical and pharmacy claims
data from individuals insured under providers participating in several large US medical and
pharmacy insurance claims submission systems. The three core objectives are: estimation of
background rates for AESI prior to and during the pandemic, assessment of observed versus
expected rates, and estimation of the relative risk for specific AESIs continuing to meet pre-
specified evaluation threshold. The proposed milestones include interim reporting every three
months. The final evaluation of the proposed studies will take place in a separate procedure
once study protocols are submitted for review.

• Post-Authorization Active Surveillance Safety Study Using Secondary Data to Monitor

Real-World Safety of the mRNA-1273 Vaccine in the EU
A Post-Authorisation Active Surveillance Safety Study Using Secondary Data to Monitor Real-
World Safety of the COVID-19 Vaccine Moderna in the EU. Secondary database analysis of
observational data to estimate incidence rates of safety events of interest and other clinically
significant events in cohorts of COVID-19 vaccine recipients in the EU.

• Moderna mRNA-1273 Observational pregnancy outcome study

The use of mRNA vaccine in pregnant women is considered Missing Information in the RMP.
The study will evaluate pregnancy outcomes among women exposed to mRNA-1273 vaccine
during pregnancy. This is a prospective observational study and will evaluate pregnancy and
birth outcomes among women exposed to mRNA-1273 vaccine during pregnancy based on
data from US, Canada and EU. Pregnant women will be recruited from the general population
and followed from enrolment until the end of pregnancy (live birth, stillbirth, termination of
pregnancy, or spontaneous abortion); live-born infants will be followed from birth until 1 year
of age. Data from EU countries will be included in the study.

• Real-world study to evaluate mRNA-1273 effectiveness and long-term effectiveness

in the U.S. will evaluate mRNA-1273 effectiveness and long- term effectiveness. Primary
objectives of the study are to evaluate the effectiveness of 2 doses of COVID-19 Vaccine
Moderna in preventing COVID-19 and severe COVID-19 disease. Secondary objectives include
effectiveness estimates stratified by age, sex, race/ethnicity, comorbid conditions, and
concomitant receipt of another adult vaccine. Durability of one or two doses of Moderna’s
COVID-19 vaccine against COVID-19 and severe COVID-19 disease will also be assessed.

Interventional studies (4)

• The applicant proposed 4 interventional studies, of which 3 are ongoing and 1 is planned.

• Phase I, Open-Label, Dose-Ranging Study of the Safety and Immunogenicity of 2019-

nCoV Vaccine (mRNA-1273) in Healthy Adults, Protocol No. 20-0003
The purpose of this study is to study the safety and reactogenicity of a 2-dose vaccination
schedule 28 days apart, at different dose levels. IgG ELISA at Day 57. Neutralizing Ab using
different assays, SARS-CoV-2 spike-specific T-cell responses. Follow up period extended by an
additional 12 months for 24 months follow up total after the second dose.

• Phase 2a, Randomized, Observer-Blind, Placebo-Controlled, Dose-Confirmation Study

to Evaluate the Safety, Reactogenicity, and Immunogenicity of mRNA-1273
SARSCoV-2 Vaccine in Adults ≥18 Years, Protocol No. mRNA-1273-P201
The study objective is to study the safety and reactogenicity and immunogenicity of 2 dose

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EMA/15689/2021 Page 135/169
 levels 50 and 100 μg administered as 2 doses 28 days apart. Follow up period extended by 6
months for a total of over 12 months in those that receive vaccine/booster.

• Phase 3, Randomized, Stratified, Observer-Blind, Placebo-Controlled Study to

Evaluate the Efficacy, Safety, and Immunogenicity of mRNA-1273 SARSCoV-2 Vaccine
in Adults Aged 18 Years and Older, Protocol No. mRNA-1273 P301
The primary objectives of study P301 are to demonstrate the efficacy of mRNA-1273 to
prevent COVID-19 and to evaluate the safety and reactogenicity of 2 injections of mRNA-1273
given 28 days apart. The study has secondary and exploratory objectives.

• A planned interventional study ‘Safety and Immunogenicity of mRNA-1273 SARSCoV-2

Vaccine in Immunocompromised Adults Aged 18 Years and Older’ in order to study the
safety and immunogenicity of SARS-CoV-2 mRNA-1273 vaccine in immunocompromised
adults.

Overall conclusions on the Pharmacovigilance Plan

The proposed post-authorisation pharmacovigilance development plan is sufficient to identify and

characterise the risks of the product.

Routine pharmacovigilance remains sufficient to monitor the effectiveness of the risk minimisation
measures.

Plans for post-authorisation efficacy studies

None proposed.

Risk minimisation measures

Routine Risk Minimisation Measures

Potential Medication Errors

The applicant included a discussion on potential medication errors which is endorsed:

Large scale mass vaccination may potentially introduce the risk of medication errors related to storage,
handling, dosing, and administration errors associated with a multi-dose vial, and confusion with other
COVID-19 vaccines. These potential medication errors are mitigated through the information in the
SmPC, including instructions in SmPC (section 6.6) contains instructions for preparation and
administration, vaccination scheme, and storage conditions of the vaccine. Additionally, a Traceability
and Vaccination Reminder card will be provided with the pre-printed MAH name and fields for entry of
dates of vaccination, batch/lot as a mitigation effort for potential confusion between vaccines, as well
as peel-off labels with lot/batch number to document the doses administered.

These available resources will inform healthcare providers on the proper preparation and
administration of the vaccine and reduce the potential for medication errors in the context of a mass
vaccination campaign. Additionally, the patient information leaflet and, in those member states where
applicable, a Traceability and Vaccination Reminder card informs patients of the vaccine received so
that a series is completed with the same product.

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EMA/15689/2021 Page 136/169
 Safety Concern Risk Minimisation Measures Pharmacovigilance Activities

Anaphylaxis Routine risk communication : Routine pharmacovigilance

activities beyond adverse
SmPC Sections
reactions reporting and signal
4.3 Contraindications detection:
4.4 Special Warnings and Targeted follow up questionnaire
Precautions for Use to collect structured clinical
4.8 Undesirable effects details of anaphylactic reactions
including anaphylaxis in
PL Sections 2 and 4 individuals who have received
Ensure appropriate medical mRNA-1273 vaccine.
treatment and supervision to be Additional pharmacovigilance
always readily available in case activities (final CSR due date):
of an anaphylactic reaction
following administration of the • Post Authorisation Safety of
vaccine. Recommendations for SARS-CoV-2 mRNA-1273
close observation for at least 15 vaccine in the US (final CSR:
minutes following vaccination. A 30 June 2023)
second dose of the vaccine • Post-Authorization Active
should not be given to those Surveillance Safety Study
who have experienced Using Secondary Data to
anaphylaxis to the first dose of Monitor Real-World Safety of
COVID-19 vaccine Moderna the mRNA-1273 Vaccine in
(SmPC section 4.4). the EU (final CSR:
Patients to get urgent attention 31 December 2023)
in case of signs and symptoms • Phase 3 P301 (final CSR:
of allergic reactions is included 31 December 2022)
in the PL section 4.
• Phase 2a P201 (final CSR:
Contraindication in subjects with
18 November 2021)
prior hypersensitivity to any
component of the vaccine is • Phase 1 20-0003 (final CSR:
included in section 4.3 and PL 01 November 2022)
section 2.
• Safety and Immunogenicity
in Immunocompromised
Additional risk minimisation: Adults (final CSR:
31 January 2023)
None

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EMA/15689/2021 Page 137/169
 Safety Concern Risk Minimisation Measures Pharmacovigilance Activities

Vaccine-associated enhanced Routine risk minimisation Routine and enhanced

disease (VAED) including measures: pharmacovigilance activities
vaccine-associated enhanced beyond adverse reactions
None
respiratory disease (VAERD) reporting and signal detection:
Additional risk minimisation
Targeted follow up questionnaire
measures: None
to collect structured clinical
details of COVID-19 disease in
individuals who have received
mRNA-1273 vaccine. The intent
is to provide insight into
potential cases of vaccine lack of
effect or VAED.
Additional pharmacovigilance
activities (final CSR due date):
• Post Authorisation Safety of
SARS-CoV-2 mRNA-1273
vaccine in the US (final CSR:
30 June 2023)
• Post-Authorization Active
Surveillance Safety Study
Using Secondary Data to
Monitor Real-World Safety of
the mRNA-1273 Vaccine in
the EU (final CSR:
31 December 2023)
• Phase 3 P301 (final CSR:
31 December 2022)

Use in pregnancy and while Routine risk communication: Routine pharmacovigilance

breast-feeding activities beyond adverse
SmPC Sections
reactions reporting and signal
4.6 Fertility, pregnancy and detection:
lactation
None
5.3 Preclinical safety data
Additional pharmacovigilance
PL Section 2 activities (final CSR due date):
Additional risk minimisation: • Post-Authorization Active
None Surveillance Safety Study
Using Secondary Data to
Monitor Real-World Safety of
the mRNA-1273 Vaccine in
the EU (final CSR:
31 December 2023)
• Moderna mRNA-1273
Observational Pregnancy
Outcome Study (final CSR:
30 June 2024)
Long-term safety Routine risk communication: Additional routine
pharmacovigilance activities
None
beyond adverse reactions
reporting and signal detection:
Additional risk minimisation: None
None Additional pharmacovigilance
activities (final CSR due date):
• Post Authorisation Safety of
SARS-CoV-2 mRNA-1273

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 Safety Concern Risk Minimisation Measures Pharmacovigilance Activities
vaccine in the US (final CSR:
30 June 2023)
• Post-Authorization Active
Surveillance Safety Study
Using Secondary Data to
Monitor Real-World Safety of
the mRNA-1273 Vaccine in
the EU (final CSR: 31
December 2023)
• Phase 3 P301 (final CSR:
31 December 2022)
• Phase 1 20-0003 (final CSR:
01 November 2022)

Use in immunocompromised Routine risk communication: Routine pharmacovigilance

subjects activities beyond adverse
SmPC Section
reactions reporting and signal
4.4 Special Warnings and detection:
Precautions for Use
None
Additional pharmacovigilance
PL Section 2 activities (final CSR due date):
• Real-world study to evaluate
Additional risk minimisation: mRNA-1273 effectiveness
and long-term effectiveness
None in the U.S. (final CSR:
30 June 2025)
• Safety and Immunogenicity
in Immunocompromised
Adults (final CSR:
31 January 2023)
Interaction with other Routine risk communication: Routine pharmacovigilance
vaccines activities beyond adverse
SmPC Section
reactions reporting and signal
4.5 Interaction with other detection:
medicinal products and other
None
forms of interaction
Additional pharmacovigilance
activities (final CSR due date):
PL Section 2
• Real-world study to evaluate
mRNA-1273 effectiveness
Additional risk minimisation: and long-term effectiveness
in the U.S. (final CSR:
None 30 June 2025)
• Post-Authorization Active
Surveillance Safety Study
Using Secondary Data to
Monitor Real-World Safety of
the mRNA-1273 Vaccine in
the EU if concomitant
administration occurs and
can be captured (final CSR:
31 December 2023)

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 Safety Concern Risk Minimisation Measures Pharmacovigilance Activities
Routine risk minimisation Routine pharmacovigilance
Use in frail subjects with
unstable health conditions measures: activities beyond adverse
and co-morbidities (e.g. SmPC section 5.1. reactions reporting and signal
chronic obstructive pulmonary detection:
disease (COPD), diabetes, Additional risk minimisation: None
chronic neurological disease,
None Additional pharmacovigilance
cardiovascular disorders)
activities (final CSR due date):
• Real-world study to evaluate
mRNA-1273 effectiveness
and long-term effectiveness
in the U.S. (final CSR:
30 June 2025)
• Post-Authorization Active
Surveillance Safety Study
Using Secondary Data to
Monitor Real-World Safety of
the mRNA-1273 Vaccine in
the EU (final CSR: 31
December 2023)

Use in subjects with Routine risk minimisation Routine pharmacovigilance

autoimmune or inflammatory measures: activities beyond adverse
disorders None reactions reporting and signal
detection:
PL Section 2 None
Additional pharmacovigilance
Additional risk minimisation: activities (final CSR due date):
None • Real-world study to evaluate
mRNA-1273 effectiveness
and long-term effectiveness
in the U.S. (final CSR:
30 June 2025)
• Post-Authorization Active
Surveillance Safety Study
Using Secondary Data to
Monitor Real-World Safety of
the mRNA-1273 Vaccine in
the EU (final CSR: 31
December 2023)

Summary of additional risk minimisation measures

None proposed.

The applicant stated that Routine risk minimisation activities are sufficient to manage the safety
concerns of the medicinal product. This is acceptable.

Overall conclusions on risk minimisation measures

The proposed risk minimisation measures are sufficient to minimise the risks of the product in the
proposed indication.

Summary of the risk management plan

The public summary of the RMP is acceptable.

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Conclusion

The CHMP and PRAC considered that the risk management plan version 1.0 is acceptable.

2.8. Pharmacovigilance

Pharmacovigilance system

The CHMP considered that the pharmacovigilance system summary submitted by the applicant fulfils the
requirements of Article 8(3) of Directive 2001/83/EC.

Periodic Safety Update Reports submission requirements

The requirements for submission of periodic safety update reports for this medicinal product are set
out in the Annex II, Section C of the CHMP Opinion. Furthermore, during the duration of the COVID-19
pandemic situation, the MAH shall submit summary safety reports submitted to EMA, including
spontaneously reported data and data from compassionate use and expanded access programs. The
applicant did request alignment of the PSUR cycle with the international birth date (IBD). The IBD is
18.12.2020. The new EURD list entry will therefore use the IBD to determine the forthcoming Data
Lock Points.

2.9. New Active Substance

The applicant declared that CX-024414 (Single-stranded, 5’-capped messenger RNA (mRNA) produced
using a cell-free in vitro transcription from the corresponding DNA templates, encoding the viral spike
(S) protein of SARS-CoV-2) has not been previously authorised in a medicinal product in the European
Union.

CX-024414 is the mRNA that encodes for the pre-fusion stabilised Spike protein of 2019-novel
Coronavirus (SARS-CoV-2). The full-length SARS-CoV-2 spike (S) protein is modified with 2 proline
substitutions (K986P and V987P) within the heptad repeat 1 domain (S 2P) to stabilise the S protein
into the pre-fusion conformation. All uridines in the mRNA are replaced by 1-methylpseudouridine. A
highly similar chemical active substance encoding for the same vaccination antigen was previously
authorised in a medicinal product for human use in the European Union. Although, CX-024414 as
active substance exposes patients to the same vaccination antigen as the already authorised active
substance in the European Union, the respective mRNAs of both vaccines are not identical. Structural
elements of the mRNA, including the sequence control elements and codon usage of the open reading
frame of the vaccination antigen are different. This can lead to an increased mRNA stability and to an
improved translation efficacy.

In conclusion, the active substance CX-024414 provides a unique sequence in the UTRs that can
influence the stability and translational behaviour of the active substance. These sequences are not
present in any authorised medicinal product in the EU. Therefore, the new active substance claim is
supported.

The CHMP, based on the available data, considers CX-024414 (Single-stranded, 5’-capped messenger
RNA (mRNA) produced using a cell-free in vitro transcription from the corresponding DNA templates,
encoding the viral spike (S) protein of SARS-CoV-2) to be a new active substance as it is not a
constituent of a medicinal product previously authorised within the Union.

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2.10. Product information

2.10.1. User consultation

A justification for not performing a full user consultation with target patient groups on the package
leaflet has been submitted by the applicant and has been found acceptable, given the current urgent
public health need for rapid development and approval of vaccines to prevent the global burden of
disease associated with SARS-CoV-2 infection and COVID-19 disease, and because the product will
always be administered by a healthcare professional.

The applicant is expected to thoroughly review and update the package leaflet in the light of the
results from the user testing, especially as regards the section ‘Information about storage and
handling’.

2.10.2. Labelling exemptions

The following exemptions from labelling and serialisation requirements have been granted on the basis
of article 63.3 of Directive 2001/83/EC. In addition, the derogations granted should be seen in the
context of the flexibilities described in the Questions and Answers on labelling flexibilities for COVID-19
vaccines (EMA/689080/2020 rev.1, from 16 December 2020) 3 document which aims at facilitating the
preparedness work of COVID-19 vaccine developers and the associated logistics of early printing
packaging activities. The ultimate goal is to facilitate the large scale and rapid deployment of COVID-
19 vaccines for EU citizens within the existing legal framework.

EU packaging specific derogations

a. From start of supply to beginning of February ’21 the following exemptions are agreed for the outer
and immediate labelling:

Outer carton

o (Invented) name: ‘Moderna COVID-19 Vaccine’

o Pharmaceutical form: ‘suspension for injection’ instead of ‘dispersion for injection’;
o Inclusion of a strength (0.20 mg/ml);
o Inclusion of non-standard pictograms.
o common name: covid-19 mRNA vaccine

Immediate label (vial)

o (Invented) name: ‘Moderna COVID-19 Vaccine’;

o Pharmaceutical form: ‘suspension for injection’ instead of ‘dispersion for injection’
o common name: covid-19 mRNA vaccine

b. From beginning of February ’21 until end of March ’21 the following has been agreed with respect to
the (invented) name:

It has been allowed to deviate from the (invented) name containing the BWP approved common name
(for the Product Information (PI) Annexes/Opinion documents) by omitting the ‘mRNA’ and
‘(nucleoside modified)’ parts, i.e. COVID-19 mRNA Vaccine (nucleoside modified) Moderna. This
derogation is valid until a proper invented name is granted or until a WHO INN is approved and used

3
Available at https://www.ema.europa.eu/en/documents/other/questions-answers-labelling-flexibilities-covid19-
vaccines_en.pdf, last consulted on 21 December 2021.

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EMA/15689/2021 Page 142/169
for an INN+MAH name. This will result in the following text for the PI annexes/Opinion documentation:

(Invented) name: COVID-19 Vaccine Moderna

Common name: COVID-19 mRNA Vaccine (nucleoside modified)

The above decision is justified on the grounds of clarity and consistency between the printed materials
produced for the batches released from February to March ‘21 and PI annexes/Opinion documents plus
company website (QR code content). It will also minimise confusion amongst vaccine users and reduce
the number of changes needed post-marketing. Moderna shall continue working closely with EMA to
define an appropriate strategy to switch to a proper invented name or INN + MAH name within the
above-mentioned period and possibly even from the beginning of February ’21.

c. Outer and immediate labelling will be provided in English only for all EU Member States, as well as
Norway and Iceland. Country/language specific outer/immediate labelling will be developed late 2021
with implementation starting Q2 2022.

Production of different vaccine packs in different languages will significantly reduce the supply chain
efficiency. The multiple changes on packaging lines will result in significant time and capacity losses
and would slow down the rapid deployment of COVID-19 vaccines. Moreover, English only labelling will
better help to manage a shortage situation in one country by using immediately the supply from
another country.

d. From the beginning of supply and until March 2021 no printed package leaflet (PL) in the national
language(s) will be supplied to EU MSs, including Norway and Iceland. During this time access to the
national version of the PL will be ensured via a QR code printed on the outer and immediate labels.
MAH shall supply as of March 2021 printed PLs in the national language(s) of all MSs, including Norway
and Iceland. Moreover, a reduced number of 5 printed PLs per 1,200 doses will be provided. A QR code
will be printed on the PL and on the Patient Reminder Card to ensure in parallel access to the national
versions of the PL.

e. The Blue Box will be omitted for the initial batches. The MAH shall provide the Blue Box via a QR
code at a later stage following agreement on exact timing of implementation with the National
Competent Authorities in each MS.

f. The inclusion of the EU Marketing Authorisation number in the labelling will be implemented with the
switch to EU compliant packs in Q2 2022, as the labels used until the end of 2021 are covering regions
other than EU.

Exemption from the obligation of serialisation

- All EU Member States have accepted a temporary derogation from serialisation for the EU pack from
beginning of supply until the end of March 2021.

- The MAH shall provide two progress reports on the serialisation: a first by 1st of February ‘21 and a
second by 1st of March ‘21 referring to details on the progress achieved in terms of ensuring
compliance, e.g. the proof of contract to connect to the European Medicines Verification Organisation.

- The MAH shall provide additional mitigating measures, e.g. immediate reporting of any stolen product
during the period of exemption, reporting of any counterfeit or falsified vaccine in the EU or third
countries in the legal supply or internet, reconciliation of product distributed and used in the respective
territory.

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2.10.3. Quick Response (QR) code

A request to include a QR code in the labelling and the package leaflet for the purpose of providing
information to Healthcare Professionals and vaccine recipients has been submitted by the applicant and
has been found acceptable.

The following elements have been agreed to be provided through a QR code:

• The Summary of Product Characteristics

• The Package Leaflet

• Storage & Handling guide

• Reminder card

• Local telephone numbers for medical information and safety reporting

2.10.4. Additional monitoring

Pursuant to Article 23(1) of Regulation (EC) No 726/2004, COVID-19 Vaccine Moderna (COVID-19
mRNA Vaccine (nucleoside-modified), CX-024414 (Single-stranded, 5’-capped messenger RNA (mRNA)
produced using a cell-free in vitro transcription from the corresponding DNA templates, encoding the
viral spike (S) protein of SARS-CoV-2)) is included in the additional monitoring list as it contains a new
active substance which, on 1 January 2011, was not contained in any medicinal product authorised in
the EU and it is approved under a conditional marketing authorisation.

Therefore, the summary of product characteristics and the package leaflet includes a statement that
this medicinal product is subject to additional monitoring and that this will allow quick identification of
new safety information. The statement is preceded by an inverted equilateral black triangle.

3. Benefit-Risk Balance

3.1. Therapeutic Context

3.1.1. Disease or condition

The claimed indication of COVID-19 Vaccine Moderna is the prevention of COVID-19 in adults. COVID-
19 is the disease caused by a novel coronavirus, severe acute respiratory coronavirus 2 (SARS-CoV-2).
COVID-19 is primarily recognised as febrile respiratory illness. While the majority of cases subsides
without specific treatment in a subgroup of patients the disease progresses to severe disease
characterised by oxygen requirement. Still fewer patients progress to critical disease with respiratory
failure, ARDS, multiorgan failure and/or thromboembolic complications. Age is the major risk factor for
severe COVID-19 and death; other described risk factors are adiposity, pre-existent diabetes,
cardiovascular disease, lung disease, immuno-deficiency and pregnancy. COVID-19 can be considered
confirmed by the existence of the above clinical signs and proof of the presence of the virus by RT-
PCR.

3.1.2. Available therapies and unmet medical need

Only a couple of medicinal products have received marketing authorisation for the treatment of COVID-
19. These encompass antiviral therapy (remdesivir) and anti-inflammatory therapy (dexamethasone).
A number of products are in clinical development, either antivirals such as monoclonal antibodies

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directed to spike protein, convalescent plasma/hyperimmune immunoglobulins or anti-inflammatory
medicinal products. Other widely used treatments of hospitalised patients include anticoagulants.
These therapies have shown variable efficacy depending on the severity and duration of illness.

While care for individuals with COVID-19 has improved with clinical experience gained over time, there
remains an urgent and unmet need for vaccines able to prevent or mitigate COVID-19 during the
ongoing pandemic. Especially protection of vulnerable groups and mitigating the effects of the
pandemic on a population level are desired. Although a first vaccine for prevention of COVID-19 was
approved recently (Comirnaty), there is still an important need for additional vaccines to meet global
demand or specific subpopulations.

3.1.3. Main clinical studies

Three studies were conducted with mRNA-1273, of which two dose finding immunogenicity and safety
phase 1 and phase 2a studies and one large phase 3 efficacy and safety trial, which is the pivotal study
for this application.

Phase 3 Study mRNA-1273-P301 is a pivotal randomised, observer-blind, placebo-controlled, stratified,

efficacy, immunogenicity, and safety study in adults ≥ 18 years of age, being conducted in 99 sites
across the United States. The overall study duration will be approximately 26 months for each
participant. The participant's final scheduled visit will be on Day 759.

In this trial, 30,420 subjects were randomised 1:1 to receive either 100μg of mRNA-1273 vaccine
(n=15,210) or placebo (n=15,210) on Day 1 and on Day 29 (cut-off date for this application was 25
November 2020). Randomisation was stratified by age and health risk into one of three strata, i.e. ≥65
years of age or 18 to <65 years of age with or without the presence of risk factors for severe COVID-
19 based on CDC recommendation as of March 2020. The trial design has been revised recently after
EUA in the US, unblinding participants to offer vaccination with mRNA-1273 within the trial (for
participants who had received placebo).

3.2. Favourable effects

The main favourable effect is the ability to prevent COVID-19. The primary endpoint in the pivotal trial
is vaccine efficacy (VE) defined as 1- HR (vaccine vs. placebo) with cases counted 14 days after the
second dose of the vaccine. A dosing window of –7 to +14 days was allowed for inclusion in the PPS,
therefore subjects included in the primary efficacy analysis had an interval between doses ranging
from 3 to 6 weeks. COVID-19 cases were confirmed by Reverse Transcriptase Polymerase Chain
Reaction (RT PCR) and by a Clinical Adjudication Committee. Vaccine efficacy (final analysis, 196 cases
overall, per protocol set) to prevent COVID-19 in subjects aged 18 years and older, with or without
underlying chronic disease and without prior evidence of SARS-CoV-2 infection, was 94.1% (95% CI
89.3%, 96.8%).

From the experience with other vaccines it is expected that prevention of severe COVID-19 will be
achieved by preventing COVID-19 overall. Currently no adjudicated severe COVID-19 cases were found
in the vaccine group while 30 cases were found in the placebo group resulting in a VE of 100% (95%CI
87.0%, NE). Of the 30 participants with severe disease, 9 were hospitalised, of which 2 were admitted
to an intensive care unit, one of which died. The majority of the remaining severe cases fulfilled only
the SpO2 criterion for severe disease.

Vaccine efficacy was very similar irrespective of whether individuals with prior evidence of SARS-CoV-2
infection were included in analysis or not. Efficacy regardless of prior SARS-CoV-2 infection

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(determined by baseline serology and NP swab sample testing) from 14 days after Dose 2 was 93.6%
(95% CI 88.5%, 96.4%.

In addition, all subgroup analyses based on age, ethnicity, race and comorbidities gave consistent
estimates for vaccine efficacy. Specifically, efficacy against confirmed COVID-19 regardless of severity
starting 14 days after the 2nd dose in the Per-Protocol Set was 95.6% (95% CI 90.6%, 97.9%) in
individuals aged 18 to <65 YOA and 86.4% (95% CI 61.4%, 95.2%) in individuals aged 65 years and
older. Individuals having a higher risk for severe COVID-19 disease due to comorbidities were allowed
to participate. Overall, 2775 (18.3%) subjects in the mRNA-1273 vaccine group had a higher risk for
severe COVID-19, of them 624 subjects (4.1%) had 2 or more risk factors. This included: chronic lung
disease, significant cardiac disease, severe obesity (body mass index ≥ 40 kg/m2), diabetes (Type 1,
Type 2 or gestational), and liver disease. It should be noted, that the individuals must have been in a
stable health condition. In subjects with comorbidities, efficacy against COVID-19 14 days after dose 2
(primary efficacy analysis in the PPS) was:

− 90.9% (95% CI 74.7%, 96.7%; 4 cases vs. 43 cases in vaccine vs. placebo group) in
individuals at high risk (N=~3200 each arm), defined as subjects at increased risk of severe
COVID-19 due to at least one pre-existing medical condition (chronic lung disease, significant
cardiac disease, severe obesity, diabetes, liver disease or HIV infection), regardless of age;

− 94.4% (95% CI 76.9%, 98.7%; 2 cases vs. 35 cases in vaccine vs. placebo group) in
individuals at high risk aged 18 to <65 years (N=~2100 each arm, same definition as above).

3.3. Uncertainties and limitations about favourable effects

Data on vaccine efficacy is available for approximately 9 weeks starting 14 days after dose 2. Data on
long-term protection are expected, however the extent and quality of data that can be anticipated from
the ongoing phase 3 study is uncertain because participants in the placebo arm will be offered
vaccination under the FDA EUA hence the study will be unblinded. Alternative plans to determine
duration of protection should be discussed post-authorisation.

The efficacy was demonstrated in a general population aged 18 years and older. Case numbers in the
very old patient population (i.e. 75 and older) at highest risk of severe COVID-19 are limited. Only
~1300 subjects across study arms were aged 75 years and older.

No data are available on certain populations such as patients under immune suppressive therapy and
immune deficient patients. Data are also lacking from pregnant and breast-feeding women.

The definition of severe COVID-19 (as per protocol) follows a list of clinical categories (e.g. low oxygen
saturation, transfer to ICU) with pronounced difference in severity, and of which at least one category
needs to be fulfilled. This complicates interpretation of efficacy estimates for severe disease prevention
and the most frequent component driving severe case counts appears to be SPO2 below 93%. One
currently unadjudicated severe case was reported as SAE in vaccine group.

The case-driven readout and high VE translates into limited case numbers at present and resulting
limited precision for estimating VE in several substrata including elderly, people with comorbidities and
efficacy against severe COVID-19.

Protection against asymptomatic infection is currently unknown, however data will be generated during
the ongoing phase 3 trial on antibodies against the nucleocapsid protein. In addition, the pivotal study
was not designed to assess the effect of the vaccine against transmission of SARS-CoV-2 from
individuals experiencing asymptomatic infections after vaccination. The efficacy of the vaccine in

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preventing SARS-CoV-2 shedding and transmission, in particular from individuals with asymptomatic
infection, can only be evaluated post-authorisation in epidemiological or specific clinical studies

The extent of cross-neutralisation of circulating and newly emerging strains of SARS-CoV-2 is not
known, however more data will be generated post-authorisation with sera from the ongoing trials.

There seems to be at least a partial onset of protection after the first dose, but this remains
unconfirmed at this stage.

Available data do not suffice to establish efficacy in subjects seropositive for SARS-CoV-2 at baseline,
and subjects with a known history of COVID-19. However, efficacy is anticipated in this group, to the
extent that they are not naturally protected against re-infection, which is presently incompletely
characterised.

The process from incident COVID-19 symptom occurrence during study to final decision as to whether
or not a ‘case’ was declared (and considered for primary efficacy analyses) leaves some uncertainty for
the final VE estimate.

The data from the phase 3 study currently presented as basis of the conditional MA are based on data
snapshots from an ongoing study rather than on database locks with fully monitored, cleaned and
adjudicated data. Due to the speed of events not all COVID-19 cases reported could be adjudicated so
far. While adjudication of events starting 14 days after the second dose were prioritised even for the
primary endpoint not all potential events could be adjudicated at the time of the data cut-off leading to
potentially lower numbers of cases in this endpoint.

Concomitant administration with other vaccines was not studied and will be investigated post-
authorisation by means of a PASS and an effectiveness study.

The timing and number of interim analyses was modified very late in the study and strong overrunning
was observed. While it seems very unlikely, potentially data driven choices cannot be excluded. Given
the large treatment effect a potential impact was considered negligible.

3.4. Unfavourable effects

In the phase 3 trial, the analysis of solicited local and systemic adverse reactions was performed within
the Solicited Safety Set that consisted of randomised participants who received at least one injection of
the vaccine and contributed to any solicited adverse reaction data. The solicited safety set overall
included 15,179 subjects in the mRNA-1273 vaccine group and 15,163 subjects in the saline placebo
group. Of the 15,179 subjects in the solicited safety set of the vaccine group, 15,168 subjects received
1 dose and 14,677 received 2 doses. In the placebo group, the numbers were 15,155 and 14,566 (as
of 25 November 2020). At the 25 November 2020 data cut, 9,406 (61.9%) subjects in the mRNA-1273
group of the pivotal trial were followed for ≥56 days since the second injection. The median study
duration from the second injection was 63.0 days.

Solicited local and systemic reactions were reported at a higher incidence in the mRNA-1273 group
than in the placebo group after each injection. Any solicited local injection site reaction of any grade
after any dose was reported by 29.3% of subjects in the placebo group and by 92.4% of subjects in
the vaccine group. Any solicited systemic AR after any dose was reported by 53.5% of subjects in the
placebo group and by 84.1% in the vaccine group. Pain at the injection site was the most common
solicited local AR in the mRNA-1273 group (92%), followed by lymphadenopathy (axillary
swelling/tenderness; 19.8%), injection site swelling (14.7%), and injection site erythema (10%). The
most frequent reported solicited systemic ARs in the m-RNA-1273 vaccine group after each dose were
fatigue (70%), and headache (64.7%). This was followed by myalgia (61.5%), arthralgia (46.4%), and

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chills (45.4%). Local and systemic reactogenicity increased from dose 1 to dose 2. The increase was
more evident for systemic solicited ARs compared with local solicited ARs. The majority of solicited
systemic and local ARs was mild to moderate.

Any grade 3 or 4 solicited systemic AR was reported from 3.0% of subjects in the vaccine group after
dose 1 and by 15.9% after dose 2. No local AE grade 4 were reported and the majority of grade 3 local
AEs was pain at the injection site. After the first injection, grade 4 solicited systemic ARs were reported
by 5 participants in the vaccine group vs. 6 participants in the placebo group. After the second
injection, grade 4 events occurred in 14 vs. 3 subjects. Nearly all grade 4 events were fever >40°C,
except for single reports of fatigue, arthralgia and nausea/vomiting in the mRNA-1273 group.

Solicited local ARs persisted longer after dose 2 (median 3 days) than after dose 1 (median 2 days).
Solicited systemic ARs generally persisted for a median of 2 days after each dose.

Unsolicited adverse events occurred in a similar rate in both placebo and vaccine group. Related were
8.2% in the vaccine and 4.5% in the placebo group of which severe were 0.5% (vaccine) and 0.2%
(placebo). The most common events are similar to events seen with any vaccine, e.g. fatigue,
headache, myalgia and arthralgia. Urticaria and rash were the most commonly seen skin and tissue
events, most of them a continuation of solicited events reported but some also starting a week after
vaccination.

The incidences of severe, serious and medically-attended unsolicited AEs were similar between vaccine
and placebo recipients. However, there were some imbalances for events such as facial swelling, acute
peripheral facial paralysis, or certain hypersensitivity events (injection site urticaria, rash).

Of the SAEs seen in the vaccine group some are also attributable to the activation of the inflammatory
system (e.g. colitis, cholecystitis, arthritis). Until the data cut-off, there were 7 subjects with
treatment-related SAEs in the vaccine group, compared to 5 subjects in the placebo group as judged
by the Investigator, however based on the information available to date no conclusion on relatedness
could be drawn. The event of facial swelling in the vaccine group occurred in subjects that received
dermal filler injections (hyaluronic acid, hyaluronic acid / Botox combination) prior to vaccination and
was included in section 4.8 of the SmPC due a reasonable possibility of causal relationship.

A numerical imbalance is observed for acute peripheral facial paralysis with three cases in the vaccine
vs. one case in the placebo arm. All cases in the vaccine arm showed an onset in close temporal
relationship to second injection. A reasonable possibility of a causal relationship to the vaccine cannot
be excluded with certainty and this AE should therefore be reflected in the SmPC section 4.8.

At the time of the latest data cut-off (25 November 2020), there were single events of anaphylaxis in
each treatment group, but without a temporal connection to the injection. Additionally, there was one
report of anaphylaxis in an individual with a severe shellfish allergy occurring after vaccination in the
context of the emergency use authorisation. This is reflected in the SmPC (sections 4.4, 4.8).

3.5. Uncertainties and limitations about unfavourable effects

Long-term safety data are not yet available. Participants in the clinical trials will be followed until 24
months after the second dose (study P301) or 12 months after the second dose (studies P201, P101).
Long-term safety is considered as missing information in the RMP and will be characterised as part of
the continuation of the pivotal clinical trial, other trials and a PASS.

No difference was observed with regards to incidence and severity of reactogenicity in subjects who
were seropositive for SARS-CoV-2 at baseline compared with subjects who were seronegative for
SARs-CoV-2 at baseline. The proportion of seropositive subjects was small with 343 subjects SARS-

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CoV2 positive at baseline who received mRNA-1273 vaccine (2.3%) and 337 seropositive placebo
subjects (2.2%), however no specific concerns arise in the observed safety profile so far.

The safety and reactogenicity data in a limited number of HIV infected individuals with stable antiviral
therapy did not reveal any concern. Limited safety data are available in individuals with autoimmune
disorders and individual under immune-suppressive treatment. An immunogenicity and safety trial in
immunosuppressed/immunodeficient people will be conducted post-authorisation as reflected in the
RMP.

Very limited clinical safety data are available for use of the vaccine during pregnancy and lactation that
do not allow any conclusions. A PASS and a pregnancy exposure registry are planned in the RMP to
generate data post-authorisation.

Whereas individuals having a higher risk for severe COVID-19 disease due to comorbidities were
included in the study, these were required to be stable at baseline. No safety data are available for frail
individuals with unstable comorbidities. Plans to gather data post-authorisation are laid down in the
RMP.

Reactogenicity was lower in individuals of 65 years of age and older compared with the younger
population 18 to 65 years of age. Approximately 24.8% (3763) of subjects older than 65 years of age
were included in the vaccine group of the phase 3 trial. However, there were limited participants for
the age group ≥85 years and above. It is however not anticipated, that reactogenicity will increase by
age.

The available data (non-clinical, clinical, neutralising capacity of antibodies) do not raise a concern
regarding vaccine-enhanced respiratory disease at the time being. However, the possibility of
enhanced disease cannot be excluded with certainty. The current version of the RMP lists vaccine-
associated enhanced respiratory disease as a safety concern and an important potential risk and plans
for monitoring are included.

COVID-19 Vaccine Moderna contains lipid nanoparticles that include two novel lipid components (SM-
102, PEG2000-DMG). The distribution, metabolism and PK of SM-102 has not been extensively studied
but submitted data on a close structural analogue show efficient hydrolysis and clearance. Currently
the involvement of PEG as an antigen triggering allergic reactions is increasingly being recognised.
Anaphylaxis has been recognised as an established risk, but the responsible antigen is currently
unknown and non-IgE mediated allergic reactions remain a possibility. The low molecular weight of the
PEG, the small amount contained in the vaccine and the administration of only few doses do not raise
concerns regarding possible accumulation.

Interaction with other vaccines has not been evaluated in clinical trials. Safety of concomitant use with
other vaccines will be investigated post-authorisation as part of a PASS study included in the RMP.

3.6. Effects Table

Table 22 - Effects Table for COVID-19 Vaccine Moderna intended for active immunisation to
prevent COVID-19 caused by SARS-CoV-2 in individuals 18 years of age and older

Effect Short Unit mRNA- Placebo Uncertainties/ References

Description 1273 Strength of evidence
(100 µg,
2 doses)

Favourable Effects

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 Effect Short Unit mRNA- Placebo Uncertainties/ References
Description 1273 Strength of evidence
(100 µg,
2 doses)

Vaccine First COVID-19 VE % 94.1 % Robust data with similar Study

efficacy (any severity) (95% CI) (89.3%, VE across different mRNA-1273-
overall occurring 14 96.8%) analysis sets and in P301 (PP
days after Dose important subgroups, set)
2, without prior especially all age strata
evidence of
SARS-COV-2 Vaccine group N=13,934
infection COVID-19 11 185 Placebo N=13,883
cases
Vaccine First COVID-19
efficacy (severe) VE % 100%
against occurring 14 (95% CI) (87.0%,
One (currently)
severe days after Dose NE)
unadjudicated severe
COVID- 2, without prior
case reported as SAE in
19 evidence of
vaccine group.
SARS-COV-2
infection COVID-19 0 30
cases
Vaccine First COVID-19
efficacy in (any severity) VE % 86.4%
individual occurring 14 (95% CI) (61.4,
s aged days after Dose 95.2)
>65 2, without prior
years evidence of
SARS-COV-2
infection COVID-19 4 29
cases

Unfavourable Effects

Unit Post- Post- Post-dose Post-dose Transient Study

dose 1 dose 2 1 2 events, mRNA-1273-
majority P301
Injection site pain % of 83.7% 88.2% 17.5 17.0% mild to (Solicited
indivi moderate safety set)
duals intensity
Injection site repor 6.1% 12.2% 0.3% 0.3%
swelling/induration Placebo
ting (N= 15,162)
Axillary the 10.2% 14.2% 4.8% 3.9%
swelling/tenderness AE mRNA-1273
(lymphadenopathy, (N=15,179)
ipsilateral)
Headache 32.7% 58.6% 26.6% 23.4%

Fatigue 37.2% 65.3% 27.3% 23.4%

Myalgia 22.7% 58.0% 13.7% 12.4%

Arthralgia 16.6% 42.8% 11.8% 10.8%

Nausea/vomiting 8.3% 19.0% 7.1% 6.4%

Chills 8.3% 44.2% 5.8% 5.6%

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 Effect Short Unit mRNA- Placebo Uncertainties/ References
Description 1273 Strength of evidence
(100 µg,
2 doses)

Fever 0.8% 15.5% 0.3% 0.3%

Bell`s palsy n. of cases 3 1 Limited

evidence for
causality
Abbreviations: VE: vaccine efficacy; AE: adverse event; CI: confidence interval

Notes: for a full summary of the adverse reactions please see the Summary of Product Information
section 4.8.

3.7. Benefit-risk assessment and discussion

3.7.1. Importance of favourable and unfavourable effects

In a large pivotal phase 3 trial, overall excellent efficacy in preventing COVID-19 of any severity has
been demonstrated in individuals aged 18 years and older. The results are considered robust based on
the study design and are further supported by the different secondary endpoints and analyses.
Subgroup analyses indicate similar vaccine efficacy in those individuals that are considered to be at a
higher risk of severe COVID-19 including elderly subjects and those with underlying health conditions
known to increase the risk of severe disease and death following SARS-CoV-2 infection, which is
considered as the population at highest need for preventative strategies.

In addition, preliminary and encouraging VE has also been estimated for the prevention of severe
COVID-19.

Despite the limitations in the characterisation and control of the active substance and finished product,
the available data and the proposed specifications for product related impurities are considered
scientifically justified and acceptable in the context of a CMA in an emergency situation.

The main shortcoming of the current efficacy dataset is the unusually short follow up of approx. 9
weeks, but data will be submitted post-authorisation as detailed in the specific obligations, RMP, and
recommendations. More data will be generated post-authorisation to further characterise longer term
protection. In the current situation this gap in knowledge is outweighed by urgent need, high COVID-
19 disease burden, and lack of or limited availability of preventative and therapeutic remedies.

It would be desirable to understand if this vaccine also has an effect on asymptomatic infection and
viral transmission. Based on the current data this aspect is not answered yet, therefore the possibility
for achieving herd immunity has not been demonstrated at the present time.

The observed safety profile is considered well characterised and acceptable based on short term data.
ADRs are generally mild to moderate and are self-limited, although local tolerability and systemic ADRs
overall indicate that this vaccine appears more reactogenic than many of the standard vaccines in use.
Long term safety has to be characterised further and it is important to analyse the full 2-year safety
follow-up of the pivotal trial, which is ongoing. The current dataset gives no indication of vaccine-
enhanced disease, a potential concern that is addressed in the RMP.

There are very limited data on use in pregnant women, but a protective effect is anticipated. In the
light of the reassuring data from the DART study, noting that pregnancy as such is a risk factor for

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severe COVID19, and that pregnant women may additionally belong to other risk groups, vaccination
may be considered on a case by case basis.

There are no data for breast-feeding women. Based on biological plausibility no risk for the breastfed
infant is anticipated.

There are no efficacy data in immunocompromised individuals. Such patients may not be protected as
well as immunocompetent individuals by vaccination. While there are limited safety data too in the
immunocompromised subjects (a broad and disparate category), no particular safety issues are
anticipated, and the benefit/risk balance of vaccination of such subjects is deemed positive, also in
light of the underlying excess risk of COVID-19. Nevertheless studies are planned in the post-
authorisation phase as detailed in the RMP.

3.7.2. Balance of benefits and risks

Given the clearly demonstrated favourable effect and considering the overall characteristics of the
unfavourable effects, a favourable B/R balance in the proposed indication is concluded. This conclusion
is particularly relevant for individuals at elevated risk of severe COVID-19 disease, like the elderly
(especially those older than 75 years of age) and those with comorbid conditions that have been
described to increase the risk of severe disease.

Although only limited data are available on HIV infected individuals, immunosuppressed /immuno-
deficient individuals in general have a high risk of developing severe COVID-19. No specific safety
issues are expected in this group, hence the benefit/risk balance for vaccination is also regarded as
favourable.

Pregnant women are likely to be at an increased risk of severe COVID-19. The overall data in this
population are not sufficient to make a general recommendation for use of the vaccine but an
individual benefit-risk appraisal appears appropriate given the reassuring data from the DART study.

3.7.3. Additional considerations on the benefit-risk balance

Given the current emergency situation, it is considered that the identified uncertainties can be
addressed post-authorisation through specific obligations, including the continuation of the pivotal
clinical study as long as possible, and post-approval effectiveness studies and routine disease
surveillance.

Conditional marketing authorisation

Efficacy, safety and immunogenicity was demonstrated using clinical batches of vaccine manufactured
at Scale A. The commercial batches are produced using an up-scale process (initial Scale B for the active
substance, Scale B for the finished product), and the comparability of these processes rely on
demonstration of comparable biological, chemical and physical characteristics of the active substance
and finished product.

Although the data provided so far are not considered to be complete with respect to the requested
characterisation of the product, comparability, process validation and stability, the quality of the
product is deemed sufficiently assured. Nevertheless, the applicant is requested to review the
specification of the active substance and finished product and provide additional stability data when
further manufacturing experience is gained.

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Based on the above, the following uncertainties are considered to be of importance for the benefit-risk
assessment:

• Comparability between the product used in the clinical trials and the commercial product

• Validation of the commercial scale manufacturing process at the sites registered for EU
production

• Quality control of the product at release and during storage

The agreed specifications in relation to the control of the active substance and finished product are
subject to review once more batch analysis data from routine manufacturing at the sites registered for
EU manufacture are available. While some of the characterisation data still need to be completed and
taking into account the emergency situation, the characterisation of the active substance and finished
product are considered acceptable, and the proposed specifications for RNA purity are considered
scientifically justified and acceptable subject to specific obligations.

Furthermore, the CHMP considers that the product fulfils the requirements for a conditional marketing
authorisation:

• The benefit-risk balance is positive, as discussed in section 3.7.2.

• It is likely that the applicant will be able to provide comprehensive data.

Studies are underway to complete the characterisation of the active substance and finished product,
and additional clinical data from batches currently in use in ongoing clinical studies, will complete the
clinical qualification of these specifications. Based upon the applicant’s justification and commitment,
detailed plans have been agreed with the applicant and reflected in the quality part of this assessment
regarding data to be generated and submitted with interim milestones for assessment by the CHMP in
order to complete all proposed specific obligations. Based on the applicant’s plans and documentation,
it is expected that data to fulfil all quality SOs will be submitted gradually between January and June
2021.

Furthermore, the applicant will continue the ongoing pivotal Phase 3 randomised, placebo-controlled,
observer-blind study P301 to obtain 2-year long-term data and to ensure sufficient follow-up in order
to confirm the efficacy and safety of COVID-19 Vaccine Moderna. The completion of the Phase 3 study
P301 will lead to comprehensive date on the efficacy and safety of COVID-19 Vaccine Moderna.

• Unmet medical needs will be addressed.

There is an urgent public health need for rapid development of vaccines to prevent the global burden
of disease associated with SARS-CoV-2 infection and COVID-19 disease. Comirnaty (COVID-19 mRNA
vaccine (nucleoside-modified)) was approved in the EU on 21/12/2020, being the first approved
vaccine against COVID-19. Despite the recent granting of a conditional marketing authorisation for
Comirnaty, there is still an unmet medical need for further vaccines to be authorised in order to
increase the supply and availability across the EU.

• The benefits to public health of the immediate availability outweigh the risks inherent in the fact
that additional data are still required.

Convincing efficacy evidence, including in the elderly and those with comorbid conditions has been
provided and long-term effectiveness and safety data will be provided post-authorisation. Taking all
this into account, it would not be considered appropriate to withhold a highly beneficial vaccine
considering the severity of COVID-19 disease and the current global pandemic situation, since the

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demonstrated benefits in the current emergency setting clearly outweigh the uncertainties of the
available data as outlined above.

3.8. Conclusions

The overall benefit-risk of COVID-19 Vaccine Moderna is positive.

Eligibility to a conditional marketing authorisation as well as requirements have been demonstrated in

line with provisions of Article 14-a of Regulation (EC) No 726/2004.

4. Recommendations

Outcome

Based on the CHMP review of data on quality, safety and efficacy, the CHMP considers by consensus
that the benefit-risk balance of COVID-19 Vaccine Moderna is favourable in the following indication:

‘COVID-19 Vaccine Moderna is indicated for active immunisation to prevent COVID-19 caused by
SARS-CoV-2 virus in individuals 18 years of age and older’.

The CHMP therefore recommends the granting of the conditional marketing authorisation subject to the
following conditions and specific obligations:

In view of the declared Public Health Emergency of International Concern and in order to ensure early
supply this medicinal product is subject to a time-limited exemption allowing reliance on batch control
testing conducted in the registered site(s) that are located in a third country. This exemption ceases to
be valid on 31 January 2021. Implementation of EU based batch control arrangements, including the
necessary variations to the terms of the marketing authorisation, has to be completed by 31 January
2021 at the latest, in line with the agreed plan for this transfer of testing.

Conditions or restrictions regarding supply and use

Medicinal product subject to medical prescription.

Official batch release

In accordance with Article 114 Directive 2001/83/EC, the official batch release will be undertaken by a
state laboratory or a laboratory designated for that purpose.

Other conditions and requirements of the marketing authorisation

Periodic Safety Update Reports

The requirements for submission of periodic safety update reports for this medicinal product are set
out in the list of Union reference dates (EURD list) provided for under Article 107c(7) of Directive
2001/83/EC and any subsequent updates published on the European medicines web-portal.

The marketing authorisation holder shall submit the first periodic safety update report for this product
within 6 months following authorisation.

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Conditions or restrictions with regard to the safe and effective use of the
medicinal product

Risk Management Plan (RMP)

The MAH shall perform the required pharmacovigilance activities and interventions detailed in the
agreed RMP presented in Module 1.8.2 of the marketing authorisation and any agreed subsequent
updates of the RMP.

An updated RMP should be submitted:

• At the request of the European Medicines Agency;

• Whenever the risk management system is modified, especially as the result of new
information being received that may lead to a significant change to the benefit/risk profile or
as the result of an important (pharmacovigilance or risk minimisation) milestone being
reached.

Specific Obligation to complete post-authorisation measures for the

conditional marketing authorisation

This being a conditional marketing authorisation and pursuant to Article 14-a of Regulation (EC) No
726/2004, the MAH shall complete, within the stated timeframe, the following measures:

Description Due date

In order to complete the characterisation of the active substance and finished January 2021
product manufacturing processes, the MAH should provide additional data.

In order to confirm the consistency of the active substance and finished product April 2021
manufacturing process (Initial and final scales), the MAH should provide additional
Interim reports
comparability and validation data.
will be provided
monthly prior to
that date.

In order to ensure consistent product quality, the MAH should provide additional June 2021
information on stability of the active substance and finished product and review the
active substance and finished product specifications following further manufacturing
experience.

In order to confirm the efficacy and safety of COVID-19 Vaccine Moderna, the MAH December 2022
should submit the final Clinical Study Report for the randomised, placebo-controlled,
observer-blind study mRNA-1273-P301.

New Active Substance Status

Based on the CHMP review of the available data, the CHMP considers that CX-024414 (Single-
stranded, 5’-capped messenger RNA (mRNA) produced using a cell-free in vitro transcription from the
corresponding DNA templates, encoding the viral spike (S) protein of SARS-CoV-2) is a new active
substance as it is not a constituent of a medicinal product previously authorised within the European
Union.

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 Annex I – List of Recommendations

Note: The active substance is the mRNA CX-024414. However, in the submitted dossier, the information on lipids and the LNP have been included in 3.2.S.
An update of the current dossier structure needs to be provided (see REC1.1). The references in the list of recommendations to sections of the dossier which
have to be updated, are with regard to the current structure of the dossier to facilitate traceability, but all the information pertaining to LNP will have to be
moved to section 3.2.P.

Area Number Description Classifica Due date

tion*
Quality 1 Active substance, CX-024414 (mRNA) REC See
description
1) In line with EU definition of active substance, which corresponds to the Single-stranded, 5’-capped
messenger RNA (mRNA) produced using a cell-free in vitro transcription from the corresponding DNA
templates, encoding the viral spike (S) protein of SARS-CoV-2, the MAH is recommended to structure the
Module 3 accordingly and ensure that the relevant GMP requirements are applied to the manufacturing
sites involved in the production of the active substance and finished product.

2) S.2.2 Description of manufacturing process and process controls

a) The applicant is requested to provide hold time qualification data for CX-024414 mRNA manufacture
no later than 31-03-2021.

b) The applicant should provide numerical values for IPC acceptance limits for CX-024414
manufacturing by 30-06-2021.

3) S.2.3 Control of material

a) The applicant commits to provide further information on the medium used for MCB and WCB no later
than 31-01-2021.

b) The acceptance criteria for the linearised plasmid should be revised if appropriate to reflect process
capability not later than 30-06-2021.

c) The applicant commits to provide sources for all appropriate reference materials/assay controls for
plasmid and linearised DNA plasmid manufacturing no later than 31-03-2021.

d) Evidence as regards qualification/validation of methods used for release testing of the linear DNA
plasmid should be provided no later than 31-03-2021.

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 e) The nucleotide starting material specifications will be finalised with suitably tight limits for purity (and
impurities and other parameters if relevant) that ensure consistent active substance quality. A flow
chart and description of the manufacture of modified UTP should be included to support its proposed
specifications, i.e. whether contamination by impurities that can be later incorporated into the mRNA
is a risk no later than 31-03-2021.

4) S.2.4 Control of critical steps and intermediates

a) The qualification report for the residual protein assay should be provided no later than 31-01-2021.

5) S.3 Characterisation

a) The applicant is asked to provide data to elucidate the nature of the observed additional bands by in
vitro translation assay. Furthermore, additional details should be provided for the in vitro translation
method and the negative and positive controls used, since the number and intensity of unspecific
bands observed still leaves place for uncertainties regarding the possible translation of additional
proteins/peptides no later than 31-03-2021. Additional characterisation data may be needed, unless
justified otherwise.

6) S.4 Control of active substance

a) The information concerning mRNA sequencing for in-process monitoring of mRNA concentration
should be provided no later than 31-01-2021.

b) The applicant should provide a summary of the CX-024414 mRNA analytical method experiment
summaries and results by 31-03-2021.

c) The applicant should provide details of the control strategy for dsRNA. The control strategy should
ensure that dsRNA levels will always be at a sufficiently low level when the manufacturing process is
run within the registered process parameter ranges. Alternatively, an appropriate release
specification for dsRNA should be registered. no later than 31-01-2021.

7) S.5 Reference standard

a) The report for qualification of the CX-024414 reference material lot should be provided by 31-01-
2021.

8) S.6 Container closure system

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 a) From OC 58: Results from extractables/leachables testing of storage bags should be provided by 30-
04-2021.

9) S.7. Stability

a) The applicant should provide a summary of the CX-024414 mRNA analytical method experiment
summaries and results by 31-03-2021.

10) Appendices

a) Dossier section 3.2.A.2 should be updated to include information as regards control of sterility no
later than 31-03-2021.

b) Dossier section 3.2.A.2 should be updated to include a TSE risk assessment (not only considering
active substance and finished product manufacturing processes but also manufacture of the starting
material) and a statement as regards compliance with EMEA/410/01 Rev.3 requirements. The update
should be provided by 30-06-2021.

Quality 2 LNP REC See

description
1) S.2 Manufacture

a) Section 3.2.S.2.2 {LNP - Lonza Visp} should be amended to provide example calculations no later
than 31-01-2021.

b) Some in-process controls in section S.2.2 LNP currently are listed as report results. Numerical ranges
should be established after PPQ and after sufficient manufacturing history (30 batches). Numerical
ranges for in-process controls should be submitted no later than 30-04-2021.

c) Section S.2.2 {LNP – Lonza Visp} should be amended to include mixing duration time and speed
during lipid stock solution preparation no later than 31-01-2021.

d) The TFF process parameter PAR “membrane feed flowrate” is different for initial concentration /
diafiltration and final concentration. However, in section S.2.2 only one PAR is given. Section S.2.2
{LNP – Lonza Visp} should be amended to provide PAR for both flowrates no later than 31-01-2021.

e) Section S.2.2 {LNP – Lonza Visp} should be amended to include the target lipid concentration and
buffer mixing duration time/speed, cryoprotectant mixing time/speed as well as cryoprotectant
addition flow rate no later than 31-01-2021.

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 f) A hold time of 24 hours has been established using laboratory-scale experiments; Section 3.2.S.2.4
{LNP- Lonza Visp} should be amended to reflect this. The storage temperature should be added to
Section 3.2.S.2.2 {LNP- Lonza Visp}. These updates should be provided by 31-01-2021.

g) The applicant should revise Section S.2.2 { LNP – Lonza Visp} to reflect the 168 hr (7 day) hold
duration instead of the currently included 14 day. It should be added that the 7 day hold duration will
be inclusive of the “pre-aliquot interim storage duration”. This update should be provided by 31-01-
2021.

h) The applicant should provide information for DSPC in accordance with the Guideline on excipients
(EMEA/CHMP/QWP/396951/2006) no later than 31-01-2021.

i) A risk assessment concerning potential extractables and leachables from manufacturing components
and container closure systems has been performed according to the applicant in S.2.3 LNP. However,
no details are available on possible extractables. Leachables studies are necessary when extraction
studies have resulted in one or several extractables. In these situations, it should be demonstrated
that in conditions representative for the intended use, substances will not migrate in such quantities
as to alter the efficacy and stability of the product or to present a toxicological risk. Respective data
should be provided not later than 30-06-2021.

j) The applicant should provide results from forced degradation studies no later than 31-03-2021.

k) No filter validation and no further information (filter type, number, material, pore size, area) to any
of the used filters has been provided. For every filtration step an appropriate solvent specific filter
validation should be provided and all relevant information regarding the filters should be presented
within the dossier. The respective validation data and information should be provided no later than
30-04-2021.

l) Section S.2.2 {LNP - Lonza Visp} should be amended to include the target fill volume no later than
31-01-2021.

m) Hold time qualification is being repeated for Scale B PPQ and results are expected in January 2021.
These results should determine hold duration for processes at Lonza Visp and should be submitted by
31-03-2021.

n) Section S.2.4 {LNP - Lonza Visp} should be amended no later than 31-01-2021 to describe
characterisation of mRNA post-thaw interim storage duration and temperature.

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 o) The applicant should establish a consensus specification for Tromethamol HCl in section S.2.3 Control
of materials LNP instead of the currently included three specifications and should submit the
specification no later than 31-03-2021.

p) The applicant is requested to establish numerical acceptance criteria for in-process controls on
bioburden and bacterial by 30-04-2021

2) S.2.5. Process validation

a) The applicant explained the appearance of an additional CPP in the PPQ protocol by an update of the
control strategy of mRNA purity based on process characterisation results. The applicant is requested
to update the respective section 2.4 by 21-03-2021.

3) S.3. Characterisation

a) The applicant should provide a comprehensive summary on the investigations and process changes
related to lipid-RNA species impurities, justify the control strategy for lipid-mRNA species and its
implementation and plans for further improvement, and update the relevant Module 3 manufacturing
development sections by 31-01-2021.

b) The applicant should outline the differences between the routine RP-HPLC purity method and lipid-
RNA species characterisation RP-HPLC method (as described in Figure 1 of Section 3.2.S.3.2.1.1.1) by
31-01-2021.

c) The applicant should provide information to demonstrate that the detection wavelength is suitable for
the quantification of lipid-RNA species and UV spectra for impurity-enriched fractions by 31-01-2021.

4) S.4 Control of Active Substance

a) The applicant should provide information on method verification for bioburden testing of LNP at
Lonza, CH no later than 31-03-2021.

b) The applicant should provide the deviation report from Lonza AG related to bacterial endotoxin
testing of LNP no later than 15-01-2021.

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 c) Cholesterol is stated to be non-compendial and compendial “Synthetic Cholesterol (Phytochol)”,
whereas compendial is not further defined. In the Ph. Eur two monographs are provided for
cholesterol, monograph 0993 and monograph 2397. For parenteral use cholesterol has to be in
compliance to monograph 2397. The applicant is advised to solely use cholesterol of this quality and
to update the provided specification and related documentation accordingly, to use non-compendial
cholesterol has to be sufficiently justified.

d) The applicant should provide a summary of the LNP analytical method experiment summaries and
results by 31-03-2021.

e) Final analytical method validation reports from Lonza, Visp should be provided once available (REC).

5) S.6 Container Closure System

a) Compliance for packaging materials of LNP to EU regulation 10/2011 should be submitted no later
than 31-01-2021.

b) The applicant is requested to perform an extractables data assessment, and if necessary, a

corresponding leachables study no later than 30-04-2021.

6) S.7 Stability

a) The applicant should provide any additional stability data for LNP (clinical and PPQ lots) no later than
31-01-2021.

b) The applicant should include the PPQ batches manufactured by Lonza AG, CH into the stability
program. The acceptance criteria should be identical for release and stability

Quality 3 Finished product REC See

description
1) P.2 Pharmaceutical Development

a) The applicant commits to submit all relevant batches to Section 3.2.P.2.3 {Rovi} no later than 31-01-
2021.

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 2) P.3 Manufacture

a) A brief summary the shipping validation for finished product should be provided and the dossier
updated accordingly by 31-03-2021

3) P.4 Control of Excipients

a) The applicant should provide evidence that the impurities and/or degradation products resulting from
PEG2000-DMG, cholesterol and DSPC have been sufficiently investigated and do not result in the
formation of lipid-RNA species by 31-01-2021.

4) P.5 Control of finished product

a) As committed, the reference sequence should be added to the method description for the identity test
no later than 31-03-2021.

b) As committed, the applicant should provide the quantitative risk assessment on nitrosamine
impurities by 30-06-2021.

c) The acceptance criteria for osmolality and in vitro translation should be re-evaluated after substantial
expansion of manufacturing experience (e.g. 30 lots as proposed by the applicant)

d) The applicant commits to conduct a risk assessment with respect to the potential presence of
elemental impurities in the finished product based on the general principles outlined in Section 5.1 of
ICH Q3D. The risk assessment will be provided no later than 31-03-2021.

e) The applicant provide evidence to confirm that the impurities and/or degradation products resulting
from PEG2000-DMG, cholesterol and DSPC have been sufficiently investigated and do not result in
the formation of lipid-RNA species by 31-01-2021.

f) The applicant commits to provide the validation reports for in vitro translation and Identity no later
than 31-01-2021.

g) The applicant commits to revise the toxicology assessments to present only the total daily intake
based on μg/dose and will be updated by 31-01-2021.

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 h) For the chlorobutyl stoppers/flip-caps, the cycle conditions for depyrogenation/sterilisation of vials
and steam sterilisation of stopper will be provided in a revision to Section 3.2.P.3.5 {Rovi} no later
than 31-01-2021. For the RTU, chlorobutyl stoppers, confirmation about the gamma sterilisation of
the stoppers will be provided in a revision to Section 3.2.P.7 {Rovi} no later than 31-01-2021.

5) P.8 Stability

a) The applicant commits to revising the stability studies such that the lipid impurities are aligned with
the release specification with respect to the reporting of lipid impurities no later than 31-01-2021.

b) The finished product acceptance criteria for individual and total lipid impurities should be tightened
based on current data for mRNA-1273 finished Product by 31-01-2021.

c) The formulated RNA LNPs have been shown to be sensitive to interfacial stress during mixing and
filling steps, as concluded from the studies in section P.2.3.6.4. In order to gain more information on
the possibility and conditions to perform (short distance) shipments of thawed vaccine (at 2°C - 8°C),
the applicant is requested to perform further studies to evaluate the stability of the final product with
regard to mechanical stress during potential transport at 2°C - 8°C. More in particular, since
mechanical stress (vibrations, shocks,…) may increase mRNA degradation (and as such decrease
mRNA purity), it should be investigated how long the thawed vaccine can be stored at 2°C - 8°C and
remain within specifications after having been transported in the thawed condition and as such
exposed to some degree of mechanical stress (cumulative scenario of thawing, mechanical stress at
2°C - 8°C and storage at 2°C - 8°C). Results should be provided as soon as possible but no later than
31-03-2021

Quality 4 Novel Excipients REC See

description
SM-102

1) Manufacture

a) The process description should be updated to include the inert gas overlay information no later than
31-01-2021.

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 b) Some in-process controls for the manufacturing process of SM-102 currently are listed as report
results. Numerical ranges should be established for these IPCs after manufacturing 30 batches and
should be submitted no later than 30-06-2021.

c) The specifications of the SM-102 starting materials partly contain “Report results” as acceptance
criteria. Numerical acceptance criteria should be established after sufficient manufacturing history (30
batches) is gained and should be submitted no later than 30-06-2021.

d) The dossier of the novel excipient SM-102 should be updated to include CQAs, CPPs and CMAs. This
update should be provided no later than 30-03-2021.

2) Control of SM-102

a) The applicant should take into account the principles of ICH Q3a and Q3b for the reporting of
impurities on the specification for SM-102 and should provide preliminary identification and reporting
limits no later than 31-01-2021. The applicant should provide an interim report for the impurities no
later than 31-03-2021 and a final revision for the SM-102 lipid specification no later than 30-06-
2021.

b) The applicant should establish numerical limits for all elemental impurities currently included in the
specification for SM-102 with the acceptance criterion “Report Results” by 30-06-2021.

c) A risk assessment for the presence of benzene in SM-102 should be completed and the control
strategy should be updated and submitted no later than 30-06-2021.

d) Information concerning the in-house test procedures for SM-102 should be provided no later than 30-
06-2021.

e) Information concerning the validation reports for the in-house test procedures for SM-102 should be
provided no later than 30-06-2021.

f) Section 3.2.S.4.4 should be updated with batches of the excipient SM-102 that were included in the
toxicological and the clinical studies. This information should be provided no later than 30-06-2021.

g) Mutagenic impurities, including impurities originating from the starting materials, have not been
discussed, discussion with regard to ICH M7 should be provided. Special attention should be set on
the potential mutagenic primary halogens (i.e. starting material SM-102-11).

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 h) The assay limits and the purity limits in the specification of SM-102 are rather wide. A commitment
should be provided to tighten the limits as appropriate as more experience is gained. The
commitment should state the number of batches after which re-evaluation of the limits will be
performed. Further investigation on the cause of the fluctuation in assay values should be performed.
Assay and purity limits will be re-evaluated following production of 30 batches of SM-102 from Option
B and revised specification will be submitted accordingly.
3) Container Closure System

a) The SM-102 primary packaging information will be amended as agreed. All components are fully
compliant with current international food contact regulations such as (EU) No 10/2011 This
information will be provided no later than 31-03-2021.

b) Specifications for the functional secondary packaging for SM-102 should be submitted no later than
31-01-2021.

4) Stability

a) It should be clarified that the container closure systems as included in section S.6 and the
commercial test procedures were used for the stability samples. A response no later than 31-01-2021
should be provided.

b) The applicant should provide results from forced degradation studies for SM-102 no later than 31-03-
2021.

c) The applicant should provide post-approval stability protocol and stability commitments for SM-102
by 31-03-2021.

Quality 5 PEG2000-DMG REC See

description
1) Manufacture

a) Details on the lyophilisation step of the manufacturing process should be provided no later than 30-
06-2021.

b) Information on the additional supplier(s) of starting material should be provided no later than 30-06-
2021.

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 c) The specifications for water content and high molecular weight in starting material should be stated
with one decimal place. The information should be provided no later than 30-06-2021.

d) A description of the analytical methods to control the starting materials should be provided no later
than 30-06-2021.

e) Information on analytical methods used for in-process testing should be provided no later than 30-
06-2021.

f) A justification for the starting materials should be provided including reactions schemes for the
respective syntheses no later than 30-06-2021.

2) Control of PEG2000-DMG

a) Polydispersity should be included in the specification for PEG2000-DMG. Additional data should be
provided no later than 30-06-2021.

b) The applicant should provide characterisation data for impurities, which are reported under ‘content
of unknown’ by 30-06-2021. The specification and the reporting of impurities should be updated
accordingly.

c) Numerical limits for specified and unspecified impurities should be included in the PEG2000-DMG
specification. The acceptance criteria for overall purity and moisture should be reported with one
decimal place. This update should be provided no later than 30-06-2021.

d) A risk assessment for the presence of benzene in PEG2000-DMG should be completed and the control
strategy should be updated and submitted no later than 30-06-2021.

e) Information on batches of the excipient PEG2000-DMG that were included in toxicological and clinical
studies should be provided no later than 30-06-2021.

f) In the description of the HPLC purity method information on the reporting threshold is missing and
should be provided no later than 30-06-2021.

g) Validation data for the analytical methods to control PEG2000 DMG are missing and should be
provided no later than 30-06-2021.

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 h) Details with regard to the manufacturing data and the batch size should be provided for the batches
provided in section ‘20 Batch analysis of GM-020’ no later than 30-06-2021.

i) Mutagenic impurities, including impurities originating from the starting materials, have not been
discussed, discussion with regard to ICH M7 should be provided.

3) Container Closure System

a) Information and specifications on the primary container used for the storage of PEG2000-DMG is
missing and should be provided no later than 31-01-2021.
4) Stability

a) The applicant should provide the post-approval stability protocol no later than 30-06-2021.

b) The applicant should submit the results from the on-going PEG2000-DMG stability studies by 30-06-
2021.

Clinical 6 The applicant should thoroughly pre-plan analyses in a dedicated supplementary SAP (sSAP; to be submitted REC As soon as
to EMA as soon as available), which allow to extract the best available information from the ongoing Phase 3
available
study with respect to duration of protection, correlate of protection, vaccine-enhanced disease, prevention of
asymptomatic infection and other long-term safety data. This sSAP should be further discussed and agreed
on with the EMA preferably in a scientific advice procedure.
Clinical 7 Aside of the SOB above to provide the final CSR by end of 2022, it is recommended to prepare a separate REC As soon as
CSR for part A of this study to be submitted as soon as available in 2021 (including outstanding results for
available
prevention of asymptomatic infection).
Non- 8 Provide data on cross-neutralisation for clinically relevant and emerging SARS-CoV-2 strains by testing both REC As soon as
sera from vaccinated animals and human clinical trial participants in functional in vitro assays as well as
clinical available
conducting challenge/protection studies in animals.
/Clinic
al

Clinical 9 Provide data on deep sequencing of virus breakthrough cases evaluated in the phase 3 trial to identify any REC As soon as
potential gap in protection against mutant strains.
available

Clinical 10 Provide interim updates on antibody persistence over time (Day 90, Day 180) evaluated in study mRNA- REC As soon as
1273-P201.
available

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 Clinical 11 Provide interim results of outstanding secondary & exploratory endpoints for study mRNA-1273-P301 as per REC As soon as
protocol as soon as available available

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