0001104659-22-124196.txt : 20221202 0001104659-22-124196.hdr.sgml : 20221202 20221202172918 ACCESSION NUMBER: 0001104659-22-124196 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221202 FILED AS OF DATE: 20221202 DATE AS OF CHANGE: 20221202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rothbaum Wayne P. CENTRAL INDEX KEY: 0001423102 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36860 FILM NUMBER: 221443125 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] 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 tm2231927-1_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2022-12-02 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 Common Stock 2022-12-02 4 P 0 10000000 6.50 A 18067333 I By Quogue Capital LLC Such shares may be held directly by Quogue Capital LLC or are held by one or more entities controlled by Quogue Capital LLC. The reporting person is the sole managing member of Quogue Capital LLC, and therefore, he is deemed to beneficially own such shares of common stock of the Issuer. The numbers reported in column 5 exclude 1,932,667 shares of common stock underlying 1,932,667 shares of Series B Preferred Stock of the Issuer beneficially owned by Quogue Capital LLC. /s/ Wayne P.Rothbaum 2022-12-02