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