Statement of Changes in Beneficial Ownership (4)
May 17 2021 - 4:33PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
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
*
Zoth Lota S. |
2. Issuer Name and Ticker or Trading Symbol
INOVIO PHARMACEUTICALS, INC.
[
INO
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
660 W. GERMANTOWN PIKE, SUITE 110 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/13/2021 |
(Street)
PLYMOUTH MEETING, PA 19462
(City)
(State)
(Zip)
|
4. 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 Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 5/14/2021 | | M | | 8700 | A | (1) | 23932 | D | |
Common Stock | 5/17/2021 | | S(2) | | 2045 | D | $6.62 | 21887 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Common Stock Options | $6.23 | 5/13/2021 | | A | | 27000 (3) | | (4) | 5/13/2031 | Common Stock | 27000.0 | $0 | 27000 | D | |
Restricted Stock Unit | (5) | 5/13/2021 | | A | | 18000 (3) | | (5) | (5) | Common Stock | 18000.0 | $0 | 18000 | D | |
Restricted Stock Unit | (1) | 5/14/2021 | | M | | | 8700 | (1) | (1) | Common Stock | 8700.0 | $0 | 0 | D | |
Explanation of Responses: |
(1) | Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 14, 2021. |
(2) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. |
(3) | This grant was made pursuant to the issuer's non-employee director compensation policy. |
(4) | Options to vest 100% on May 13, 2022. |
(5) | Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 13, 2022. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Zoth Lota S. 660 W. GERMANTOWN PIKE SUITE 110 PLYMOUTH MEETING, PA 19462 | X |
|
|
|
Signatures
|
/s/ Lota Zoth | | 5/17/2021 |
**Signature of Reporting Person | Date |
Inovio Pharmaceuticals (NASDAQ:INO)
Historical Stock Chart
From Oct 2024 to Nov 2024
Inovio Pharmaceuticals (NASDAQ:INO)
Historical Stock Chart
From Nov 2023 to Nov 2024