Form 4: Inovio Pharmaceuticals, Inc. (INO), Shea Jacqueline Elizabeth, transaction 01/27/2021

Summary

Jacqueline E. Shea, Chief Operating Officer of INOVIO PHARMACEUTICALS, INC. [ INO ], reports exercising Common Stock Options at $ 3.62 for 22,376 shares on 01/27/2021 and 55,248 shares on 01/28/2021. Sales of 22,376 shares at $ 12.01 and 5,960 shares at $ 12.04 on 01/27/2021, and 16,713 shares at $ 12.04 on 01/28/2021, were effected under a Rule 10b5-1 trading plan at weighted average prices from trades between $12.00 and $12.10. The form lists 44,495 shares owned directly after the last sale and 122,376 options remaining. It is signed /s/ Jacqueline E. Shea, 01/29/2021.

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Full text

SEC Form 4

FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 | OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response: 0.5 | OMB APPROVAL | OMB Number: 3235-0287 Estimated average burden hours per response: 0.5 | OMB Number: | 3235-0287 | Estimated average burden | hours per response: | 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person * Shea Jacqueline Elizabeth (Last) (First) (Middle) 660 W. GERMANTOWN PIKE (Street) PLYMOUTH MEETING PA 19462 (City) (State) (Zip) | Shea Jacqueline Elizabeth | (Last) | (First) | (Middle) | 660 W. GERMANTOWN PIKE | PLYMOUTH MEETING | PA | 19462 | (City) | (State) | (Zip) | 2. Issuer Name and Ticker or Trading Symbol INOVIO PHARMACEUTICALS, INC. [ INO ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner X Officer (give title below) Other (specify below) Chief Operating Officer | Director | 10% Owner | X | Officer (give title below) | Other (specify below) | Chief Operating Officer
3. Date of Earliest Transaction
 (Month/Day/Year) 01/27/2021
4. If Amendment, Date of Original Filed
 (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person Form filed by More than One Reporting Person | X | Form filed by One Reporting Person | Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr.
 3) | 2. Transaction Date
 (Month/Day/Year) | 2A. Deemed Execution Date, if any
 (Month/Day/Year) | 3. Transaction Code (Instr.
 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr.
 3, 4 and 5) | 5.
 Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr.
 4) | 7. Nature of Indirect Beneficial Ownership (Instr.
 4)
Code | V | Amount | (A) or (D) | Price
Common Stock | 01/27/2021 | M | 22,376 | A | $ 3.62 | 34,296 | D
Common Stock | 01/27/2021 | S (1) | 22,376 | D | $ 12.01 (2) | 11,920 | D
Common Stock | 01/27/2021 | S (1) | 5,960 | D | $ 12.04 (3) | 5,960 | D
Common Stock | 01/28/2021 | M | 55,248 | A | $ 3.62 | 61,208 | D
Common Stock | 01/28/2021 | S (1) | 16,713 | D | $ 12.04 (4) | 44,495 | D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr.
 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date
 (Month/Day/Year) | 3A. Deemed Execution Date, if any
 (Month/Day/Year) | 4. Transaction Code (Instr.
 8) | 5.
 Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
 3, 4 and 5) | 6. Date Exercisable and Expiration Date
 (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr.
 3 and 4) | 8. Price of Derivative Security (Instr.
 5) | 9.
 Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr.
 4) | 11. Nature of Indirect Beneficial Ownership (Instr.
 4)
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares
Common Stock Option | $ 3.62 | 01/27/2021 | M | 22,376 | 03/25/2019 | 03/25/2029 | Common Stock | 22,376 | $ 0 | 177,624 | D
Common Stock Option | $ 3.62 | 01/28/2021 | M | 55,248 | 03/25/2019 | 03/25/2029 | Common Stock | 55,248 | $ 0 | 122,376 | D
Explanation of Responses:
1. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
2. These transactions were executed in multiple trades at prices ranging from $12.00 to $12.09, 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.
3. These transactions were executed in multiple trades at prices ranging from $12.00 to $12.07, 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.
4. These transactions were executed in multiple trades at prices ranging from $12.00 to $12.10, 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.
Remarks:
/s/ Jacqueline E. Shea | 01/29/2021
** Signature of Reporting Person | Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction
 4

 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

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