0001104659-24-031114.txt : 20240305
0001104659-24-031114.hdr.sgml : 20240305
20240305175648
ACCESSION NUMBER: 0001104659-24-031114
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240301
FILED AS OF DATE: 20240305
DATE AS OF CHANGE: 20240305
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Rothbaum Wayne P.
CENTRAL INDEX KEY: 0001423102
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36860
FILM NUMBER: 24722874
MAIL ADDRESS:
STREET 1: C/O QUOGUE CAPITAL LLC
STREET 2: 1285 AVENUE OF THE AMERICAS, 35TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: IOVANCE BIOTHERAPEUTICS, INC.
CENTRAL INDEX KEY: 0001425205
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
ORGANIZATION NAME: 03 Life Sciences
IRS NUMBER: 753254381
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 825 INDUSTRIAL ROAD
STREET 2: 4TH FLOOR
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
BUSINESS PHONE: 6502607120
MAIL ADDRESS:
STREET 1: 825 INDUSTRIAL ROAD
STREET 2: 4TH FLOOR
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
FORMER COMPANY:
FORMER CONFORMED NAME: Lion Biotechnologies, Inc.
DATE OF NAME CHANGE: 20131015
FORMER COMPANY:
FORMER CONFORMED NAME: Genesis Biopharma, Inc
DATE OF NAME CHANGE: 20100319
FORMER COMPANY:
FORMER CONFORMED NAME: FREIGHT MANAGEMENT CORP
DATE OF NAME CHANGE: 20080128
4
1
tm248017-10_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2024-03-01
0
0001425205
IOVANCE BIOTHERAPEUTICS, INC.
IOVA
0001423102
Rothbaum Wayne P.
C/O IOVANCE BIOTHERAPEUTICS, INC.
825 INDUSTRIAL ROAD, 4TH FLOOR
SAN CARLOS
CA
94070
1
0
0
0
0
Deferred Restricted Stock Unit
2024-03-01
4
A
0
100000
0
A
Common Stock
100000
100000
D
Each deferred restricted stock unit ("DRSU") represents a contingent right to receive one share of the Issuer's common stock and are granted pursuant to the Issuer's 2018 Equity Incentive Plan (as amended).
50% of the RSUs will vest on the 6-month anniversary of the date of grant and the remaining RSUs will vest on the one-year anniversary of the date of grant. Notwithstanding the vesting, the issuance of the common stock will be deferred until the earlier of (i) three months after the Reported Person's resignation or removal from the Board of Directors or no longer providing service because of death or disability, (ii) a change in control (as defined in the DRSU agreement) or (iii) ten years from the Transaction Date.
/s/ Wayne P.Rothbaum
2024-03-05