SEC Form 4 · accession 0001055726-17-000008

INOVIO PHARMACEUTICALS, INC. · INO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Executive Officer · Director

Period of report

Mar 9, 2017

Accepted (ET)

Mar 13, 2017 · 5:41 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001055726

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Mar 9, 2017	M	57,334	—	A	2,021,944	D
Common Stock	Mar 9, 2017	F	17,787	$6.61	D	2,004,157	D
Common Stock^F2	Mar 10, 2017	M	139,745	—	A	2,143,902	D
Common Stock	Mar 10, 2017	F	52,605	$6.68	D	2,091,297	D
Common Stock	holding	—	—		—	1,750,000	I	By Family Limited Partnership
Common Stock	holding	—	—		—	33,563	I	By Daughter: EK
Common Stock	holding	—	—		—	33,775	I	By Son: JK1
Common Stock	holding	—	—		—	5,975	I	By Spouse
Common Stock	holding	—	—		—	33,533	I	By Son: JK2

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Unit^F1	—	Mar 9, 2017	M	57,334	D	—	—	Common Stock	57,334	114,666	D
Common Stock Option^F3	$6.68	Mar 10, 2017	A	43,150	A	Mar 10, 2017	Mar 10, 2027	Common Stock	43,150	43,150	D
Restricted Stock Unit^F4	—	Mar 10, 2017	A	317,100	A	—	—	Common Stock	317,100	317,100	D

F1Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 172,000 restricted stock units is as follows: 57,334 vested on March 9, 2017; 57,333 shares will vest on March 9, 2018; 57,333 shares will vest on March 9, 2019. Vested units of restricted stock can be settled in shares of common stock, cash or a combination of both.
F2These restricted stock units vested 100% on the March 10, 2017 grant date.
F3The vesting schedule for the 43,150 options is as follows: 10,787 shares vested on March 10, 2017; 10,788 shares will vest on March 10, 2018; 10,787 shares will vest on March 10, 2019; 10,788 shares will vest on March 10, 2020.
F4Each 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 will vest on March 10, 2018; 105,700 shares will vest on March 10, 2019; 105,700 shares will vest on March 10, 2020. Vested units of restricted stock can be settled in shares of common stock, cash or a combination of both.