Statement of Changes in Beneficial Ownership (4)
March 12 2019 - 5:10PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Kim Jong Joseph
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2. Issuer Name
and
Ticker or Trading Symbol
INOVIO PHARMACEUTICALS, INC.
[
INO
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Executive Officer
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(Last)
(First)
(Middle)
660 W. GERMANTOWN PIKE SUITE 110
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/8/2019
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(Street)
PLYMOUTH MEETING, PA 19462
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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3/9/2019
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M
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57333
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A
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(1)
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2451788
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D
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Common Stock
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3/9/2019
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F
(2)
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16329
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D
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$3.34
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2435459
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D
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Common Stock
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3/10/2019
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M
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105700
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A
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(3)
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2541159
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D
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Common Stock
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3/10/2019
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F
(4)
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30104
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D
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$3.34
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2511055
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D
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Common Stock
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1750000
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I
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By Family Limited Partnership
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Common Stock
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33563
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I
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By Daughter: EK
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Common Stock
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33775
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I
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By Son: JK1
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Common Stock
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5975
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I
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By Spouse
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Common Stock
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33533
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I
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By Son: JK2
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Unit
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(1)
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3/9/2019
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M
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57333
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(1)
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(1)
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Common Stock
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57333.0
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$0
(1)
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0
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D
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Restricted Stock Unit
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(3)
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3/10/2019
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M
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105700
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(3)
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(3)
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Common Stock
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105700.0
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$0
(3)
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105700
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D
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Common Stock Option
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$3.34
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3/8/2019
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A
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298100
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3/8/2019
(5)
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3/8/2029
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Common Stock
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298100.0
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$0
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298100
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D
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Restricted Stock Unit
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(6)
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3/8/2019
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A
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191100
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(6)
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(6)
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Common Stock
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191100.0
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$0
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191100
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D
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Explanation of Responses:
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(1)
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Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 172,000 restricted stock units was as follows: 57,334 shares vested on March 9, 2017; 57,333 shares vested on March 9, 2018; 57,333 shares vested on March 9, 2019.
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(2)
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The transaction reported represents the withholding of shares by the issuer to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of the restricted stock units award reported in footnote (1) herein.
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(3)
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Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 317,100 restricted stock units is as follows: 105,700 shares vested on March 10, 2018; 105,700 shares vested on March 10, 2019; 105,700 shares will vest on March 10, 2020. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.
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(4)
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The transaction reported represents the withholding of shares by the issuer to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of the restricted stock units award reported in footnote (3) herein.
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(5)
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The vesting schedule for the 298,100 options is as follows: 74,525 shares vested on March 8, 2019; 74,525 shares will vest on March 8, 2020; 74,525 shares will vest on March 8, 2021; 74,525 shares will vest on March 8, 2022.
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(6)
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Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 191,100 restricted stock units is as follows: 63,700 shares will vest on March 8, 2020; 63,700 shares will vest on March 8, 2021; 63,700 shares will vest on March 8, 2022.Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Kim Jong Joseph
660 W. GERMANTOWN PIKE SUITE 110
PLYMOUTH MEETING, PA 19462
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X
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Chief Executive Officer
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Signatures
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/s/ Jong Joseph Kim
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3/12/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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