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