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INOVIO PHARMACEUTICALS, INC. — Director's Dealing 2021
Jan 15, 2021
34008_dirs_2021-01-15_24b149c9-f491-4ee0-ab4c-9d5a60fa7e77.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: INOVIO PHARMACEUTICALS, INC. (INO)
CIK: 0001055726
Period of Report: 2021-01-15
Reporting Person: KIES PETER (CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-01-15 | Common Stock | M | 30000 | $4.56 | Acquired | 149290 | Direct |
| 2021-01-15 | Common Stock | S | 30000 | $10.0186 | Disposed | 119290 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-01-15 | Common Stock Option | $4.56 | M | 30000 | Disposed | 2021-03-11 | Common Stock (30000.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 4500 | Indirect |
Footnotes
F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
F2: These transactions were executed in multiple trades at prices ranging from $10.00 to $10.07, 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.
F3: Gives effect to a 1-for-4 reverse stock split effected by the Issuer on June 5, 2014.