0001104659-19-070006.txt : 20191204
0001104659-19-070006.hdr.sgml : 20191204
20191204210117
ACCESSION NUMBER: 0001104659-19-070006
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170403
FILED AS OF DATE: 20191204
DATE AS OF CHANGE: 20191204
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Fardis Maria
CENTRAL INDEX KEY: 0001559231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36860
FILM NUMBER: 191269329
MAIL ADDRESS:
STREET 1: C/O PARMACYCLICS, INC.
STREET 2: 995 EAST ARQUES AVENUE
CITY: SUNNYVALE
STATE: CA
ZIP: 94085
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: 999 SKYWAY ROAD
STREET 2: SUITE 150
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
BUSINESS PHONE: 6502607120
MAIL ADDRESS:
STREET 1: 999 SKYWAY ROAD
STREET 2: SUITE 150
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
tm1924459d1_4.xml
OWNERSHIP DOCUMENT
X0306
4
2017-04-03
0
0001425205
IOVANCE BIOTHERAPEUTICS, INC.
IOVA
0001559231
Fardis Maria
999 SKYWAY ROAD, SUITE 150
SAN CARLOS
CA
94070
1
1
0
0
President and CEO
Common Stock
2017-04-03
4
F
0
51673
7.15
D
498327
D
Common Stock
2017-06-01
4
F
0
143496
5.45
D
354831
D
Common Stock
2017-07-01
4
F
0
1994
7.35
D
352837
D
Common Stock
2017-08-01
4
F
0
1993
5.70
D
350844
D
Common Stock
2017-09-01
4
F
0
1994
6.00
D
348850
D
Common Stock
2017-10-01
4
F
0
1993
7.75
D
346857
D
Common Stock
2017-11-01
4
F
0
1994
7.15
D
344863
D
Common Stock
2017-12-01
4
F
0
1994
8.80
D
342869
D
Common Stock
2018-01-01
4
F
0
1562
8.00
D
341307
D
Common Stock
2018-02-01
4
F
0
1525
16.50
D
339782
D
Common Stock
2018-03-01
4
F
0
1321
18.15
D
338461
D
Common Stock
2018-04-01
4
F
0
1321
16.90
D
337140
D
Common Stock
2018-05-01
4
F
0
1321
14.60
D
335819
D
Common Stock
2018-06-01
4
F
0
1321
14.55
D
334498
D
Common Stock
2018-07-01
4
F
0
1321
12.80
D
333177
D
Common Stock
2018-08-01
4
F
0
1321
13.70
D
331856
D
Common Stock
2018-09-04
4
F
0
1321
17.10
D
330535
D
Common Stock
2018-10-01
4
F
0
1321
11.12
D
329214
D
Common Stock
2018-11-01
4
F
0
1321
9.62
D
327893
D
Common Stock
2018-12-01
4
F
0
1321
10.44
D
326572
D
Common Stock
2019-01-02
4
F
0
1562
9.45
D
325010
D
Common Stock
2019-02-01
4
F
0
1562
9.26
D
323448
D
Common Stock
2019-03-01
4
F
0
1298
10.77
D
322150
D
Common Stock
2019-04-01
4
F
0
1321
9.78
D
320829
D
Common Stock
2019-05-01
4
F
0
1321
11.14
D
319508
D
Common Stock
2019-06-03
4
F
0
1321
18.04
D
318187
D
Common Stock
2019-07-01
4
F
0
1321
24.62
D
316866
D
Common Stock
2019-08-01
4
F
0
1321
25.17
D
315545
D
Common Stock
2019-09-03
4
F
0
1610
20.27
D
313935
D
Common Stock
2019-10-01
4
F
0
1894
18.21
D
312041
D
Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.
Shares reported include unvested Restricted Stock Units ("RSUs").
Pursuant to the SEC Form 4 filing limitation of 30 transactions per form, two Forms 4 are being filed and each shall be deemed to be part of the same Form 4 filing. This is 1 of 2 Forms 4.
/s/ Maria Fardis
2019-12-04