0001104659-20-076172.txt : 20200623
0001104659-20-076172.hdr.sgml : 20200623
20200623210019
ACCESSION NUMBER: 0001104659-20-076172
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200610
FILED AS OF DATE: 20200623
DATE AS OF CHANGE: 20200623
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Swartzburg Michael
CENTRAL INDEX KEY: 0001659026
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36860
FILM NUMBER: 20983611
MAIL ADDRESS:
STREET 1: C/O AVALANCHE BIOTECHNOLOGIES, INC.
STREET 2: 1035 O'BRIEN DRIVE, SUITE A
CITY: MENLO PARK
STATE: CA
ZIP: 94025
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
3
1
tm2023254d1_3.xml
OWNERSHIP DOCUMENT
X0206
3
2020-06-10
0
0001425205
IOVANCE BIOTHERAPEUTICS, INC.
IOVA
0001659026
Swartzburg Michael
C/O IOVANCE BIOTHERAPEUTICS, INC.
999 SKYWAY ROAD, SUITE 150
SAN CARLOS
CA
94070
0
1
0
0
VP, Finance
Stock Option (Right to Buy)
19.50
2028-03-04
Common Stock
95000
D
Stock Option (Right to Buy)
11.26
2029-03-03
Common Stock
35000
D
Stock Option (Right to Buy)
23.88
2030-01-19
Common Stock
46500
D
Provided the Reporting Person is still employed with the Issuer on the vesting dates, the options are exercisable as follows: (i) options for the purchase of one-third of the granted shares shall vest on the one-year anniversary of March 5, 2018; 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 March 5, 2018.
Provided the Reporting Person is still employed with the Issuer on the vesting dates, the options are exercisable as follows: (i) options for the purchase of one-third of the granted shares shall vest on the one-year anniversary of March 4, 2019; 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 March 4, 2019.
Provided the Reporting Person is still employed with the Issuer on the vesting dates, the options are exercisable as follows: (i) options for the purchase of one-third of the granted shares shall vest on the one-year anniversary of January 20, 2020; 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 January 20, 2020.
/s/ Michael C. Swartzburg
2020-06-23