SEC Form 4 · accession 0001055726-17-000026
INOVIO PHARMACEUTICALS, INC. · INO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Morton Collins
Director
Period of report
May 12, 2017
Accepted (ET)
May 15, 2017 · 5:03 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 StockF1 | May 13, 2017 | M | 10,000 | — | A | 152,291 | D | |
| Common Stock | holding | — | — | — | 50,000 | I | By Morton Collins IRA account | |
| Common Stock | holding | — | — | — | 6,650 | I | By Spouse IRA account | |
| Common Stock | holding | — | — | — | 6,450 | I | By Spouse | |
| Common Stock | holding | — | — | — | 64,750 | I | By Collins Children's Trust | |
| Common Stock | holding | — | — | — | 4,500 | I | The Collins Family Foundation Trust | |
| Common Stock | holding | — | — | — | 64,750 | I | By Collin Grandchildren's Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF2 | — | May 12, 2017 | A | 7,669 | A | — | — | Common Stock | 7,669 | 7,669 | D |
| Common Stock OptionsF3 | $7.14 | May 12, 2017 | A | 12,500 | A | May 12, 2018 | May 12, 2027 | Common Stock | 12,500 | 12,500 | D |
| Restricted Stock UnitF1 | — | May 13, 2017 | M | 10,000 | D | — | — | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 13, 2017.
- F2Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 12, 2018.
- F3Options to vest 100% on May 12, 2018.