SEC Form 4 · accession 0001055726-18-000042
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
Sep 12, 2018
Accepted (ET)
Sep 14, 2018 · 5:12 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 | Sep 12, 2018 | M | 49,060 | $5.08 | A | 2,357,554 | D | |
| Common StockF1 | Sep 12, 2018 | S | 49,060 | $5.37 | D | 2,308,494 | 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 Option | $5.08 | Sep 12, 2018 | M | 49,060 | D | Sep 12, 2008 | Sep 12, 2018 | Common Stock | 49,060 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $5.32 to $5.44, inclusive. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.