0001104659-23-029101.txt : 20230306 0001104659-23-029101.hdr.sgml : 20230306 20230306172721 ACCESSION NUMBER: 0001104659-23-029101 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230302 FILED AS OF DATE: 20230306 DATE AS OF CHANGE: 20230306 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vogt Frederick G CENTRAL INDEX KEY: 0001719678 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36860 FILM NUMBER: 23710064 MAIL ADDRESS: STREET 1: 2120 HEMLOCK RD. CITY: WEST NORRITON STATE: PA ZIP: 19403 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 tm238642-4_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2023-03-02 0 0001425205 IOVANCE BIOTHERAPEUTICS, INC. IOVA 0001719678 Vogt Frederick G C/O IOVANCE BIOTHERAPEUTICS, INC. 825 INDUSTRIAL ROAD, 4TH FLOOR SAN CARLOS CA 94070 0 1 0 0 See Remarks Restricted Stock Units 2023-03-02 4 A 0 125000 0 A Common Stock 125000 125000 D Stock Option (right to buy) 7.12 2023-03-02 4 A 0 500000 0 A 2033-03-02 Common Stock 500000 500000 D Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. Provided the Reporting Person is still employed with the Issuer on the following dates, the RSUs shall vest over three years, with (i) one-third of the RSUs vesting on the one-year anniversary of the date of grant and (ii) the remaining RSUs shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of the date of grant. Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of one-third of such shares shall vest on the one-year anniversary of the date of grant; and (ii) the remaining options shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of the date of grant. Interim CEO, President & General Counsel /s/ Frederick G. Vogt 2023-03-06