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