0001104659-22-071051.txt : 20220614
0001104659-22-071051.hdr.sgml : 20220614
20220614170145
ACCESSION NUMBER: 0001104659-22-071051
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220610
FILED AS OF DATE: 20220614
DATE AS OF CHANGE: 20220614
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Dukes Iain D.
CENTRAL INDEX KEY: 0001681955
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36860
FILM NUMBER: 221015597
MAIL ADDRESS:
STREET 1: 112 W. 34TH STREET, 17TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10120
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: IOVANCE BIOTHERAPEUTICS, INC.
CENTRAL INDEX KEY: 0001425205
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
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
tm2218366-3_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2022-06-10
0
0001425205
IOVANCE BIOTHERAPEUTICS, INC.
IOVA
0001681955
Dukes Iain D.
C/O IOVANCE BIOTHERAPEUTICS, INC.
825 INDUSTRIAL ROAD, 4TH FLOOR
SAN CARLOS
CA
94070
1
0
0
0
Deferred Restricted Stock Unit
2022-06-10
4
A
0
102409
0
A
Common Stock
102409
102409
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).
Provided the Reporting Person continues to be providing service to the Issuer on the following dates, the DRSUs shall vest on the earlier of: (i) the first anniversary of the Transaction Date; or (2) the day prior to the Issuer's next annual shareholder meeting. 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/ Iain Dukes
2022-06-14