Kim Jong Joseph 4

4 · INOVIO PHARMACEUTICALS, INC. · Filed Mar 9, 2021

Form 4

Period: 2021-03-05

DirectorChief Executive Officer10% Owner

Transactions

Exercise/Conversion
Restricted Stock Unit
2021-03-08−63,700→ 63,700 total
→ Common Stock (63,700 underlying)
Exercise/Conversion
Restricted Stock Unit
2021-03-05−120,100→ 0 total
→ Common Stock (120,100 underlying)
Tax Payment
Common Stock
2021-03-05$9.19/sh−64,230$590,274→ 1,134,183 total
Exercise/Conversion
Common Stock
2021-03-08+63,700→ 1,197,883 total
Exercise/Conversion
Common Stock
2021-03-05+120,100→ 1,198,413 total
Tax Payment
Common Stock
2021-03-08$8.91/sh−34,067$303,537→ 1,163,816 total

Holdings

Footnotes (4)

[F1]Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 360,300 restricted stock units is as follows: 120,100 shares vested on March 5, 2019; 120,100 shares vested on March 5, 2020; 120,100 shares vested on March 5, 2021. Vested units of restricted stock can be settled in shares of common stock, cash or a combination of both.
[F2]The transaction reported represents the withholding of shares by the issuer to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of the restricted stock unit award reported in footnote (1) herein.
[F3]Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 191,100 restricted stock units is as follows: 63,700 shares vested on March 8, 2020; 63,700 shares vested on March 8, 2021; 63,700 shares will vest on March 8, 2022.Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.
[F4]The transaction reported represents the withholding of shares by the issuer to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of the restricted stock unit award reported in footnote (3) herein.

Documents

1 file