Initial Statement of Beneficial Ownership (3)
March 12 2019 - 7:20PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Humeau Laurent
|
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/8/2019
|
3. Issuer Name
and
Ticker or Trading Symbol
INOVIO PHARMACEUTICALS, INC. [INO]
|
(Last)
(First)
(Middle)
C/O INOVIO PHARMACEUTICALS, INC., 6769 MESA RIDGE RD.
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
Chief Scientific Officer /
|
(Street)
SAN DIEGO, CA 92121
(City)
(State)
(Zip)
|
5. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Beneficially Owned
|
1.Title of Security
(Instr. 4)
|
2. Amount of Securities Beneficially Owned
(Instr. 4)
|
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
|
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Common Stock
|
22201
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4)
|
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
|
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
|
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Restricted Stock Unit
|
(1)
|
3/8/2029
(1)
|
Common Stock
|
2666.0
|
(1)
|
D
|
|
Restricted Stock Unit
|
(2)
|
3/10/2027
(2)
|
Common Stock
|
5624.0
|
(2)
|
D
|
|
Restricted Stock Unit
|
(3)
|
3/5/2028
|
Common Stock
|
53133.0
|
(3)
|
D
|
|
Common Stock Option
|
(4)
|
1/6/2024
|
Common Stock
|
20000.0
|
$10.0
|
D
|
|
Common Stock Option
|
(4)
|
3/5/2025
|
Common Stock
|
25000.0
|
$7.56
|
D
|
|
Common Stock Option
|
(4)
|
3/9/2026
|
Common Stock
|
18000.0
|
$7.02
|
D
|
|
Common Stock Option
|
(4)
|
3/10/2027
|
Common Stock
|
13750.0
|
$6.68
|
D
|
|
Common Stock Option
|
(4)
|
3/5/2018
|
Common Stock
|
126500.0
|
$4.29
|
D
|
|
Explanation of Responses:
|
(1)
|
Each restricted stock unit represents a contingent right to receive one share of common stock. The 2,666 restricted stock vested on March 9, 2019.
|
(2)
|
Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 5,624 restricted stock units is as follows: 2,812 shares vested on March 10, 2019; 2,812 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.
|
(3)
|
Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 53,133 restricted stock units is as follows: 26,567 shares will vest on March 5, 2020; 26,566 shares will vest on March 5, 2021. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.
|
(4)
|
The common stock options will vest over a period of three years, with 25% of the shares underlying the option vesting immediately, and 25% on the first, second, and third anniversaries of the date of grant. The expiration date of this option reported in the table is the day of the tenth anniversary of the grant date of the option.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Humeau Laurent
C/O INOVIO PHARMACEUTICALS, INC.
6769 MESA RIDGE RD.
SAN DIEGO, CA 92121
|
|
|
Chief Scientific Officer
|
|
Signatures
|
/s/ Laurent Humeau
|
|
3/12/2019
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Inovio Pharmaceuticals (NASDAQ:INO)
Historical Stock Chart
From Jun 2024 to Jul 2024
Inovio Pharmaceuticals (NASDAQ:INO)
Historical Stock Chart
From Jul 2023 to Jul 2024