0001104659-22-071050.txt : 20220614 0001104659-22-071050.hdr.sgml : 20220614 20220614170117 ACCESSION NUMBER: 0001104659-22-071050 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: DIXON WENDY L CENTRAL INDEX KEY: 0001202283 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36860 FILM NUMBER: 221015592 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 tm2218366-2_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2022-06-10 0 0001425205 IOVANCE BIOTHERAPEUTICS, INC. IOVA 0001202283 DIXON WENDY L 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 51204 0 A Common Stock 51204 51204 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/ Wendy Dixon 2022-06-14