SEC Form 4 · accession 0001055726-17-000020
INOVIO PHARMACEUTICALS, INC. · INO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jong Joseph Kim
Officer — Chief Executive Officer · Director
Period of report
Mar 30, 2017
Accepted (ET)
Apr 3, 2017 · 5:08 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 | Mar 30, 2017 | M | 73,590 | $5.08 | A | 2,164,887 | D | |
| Common Stock | Mar 30, 2017 | S | 73,590 | $6.5051 | D | 2,091,297 | D | |
| Common Stock | Mar 31, 2017 | M | 73,590 | $5.08 | A | 2,164,887 | D | |
| Common Stock | Mar 31, 2017 | S | 73,590 | $6.5739 | 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 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock OptionF1 | $5.08 | Mar 30, 2017 | M | 73,590 | D | Jan 18, 2007 | Jan 18, 2017 | Common Stock | 73,590 | 73,590 | D |
| Common Stock OptionF1 | $5.08 | Mar 31, 2017 | M | 73,590 | D | Jan 18, 2007 | Jan 18, 2027 | Common Stock | 73,590 | 0 | D |
Explanation of responses
- F1The term of these stock option was extended by 14 days after the expiration of the Company's blackout period.