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Swartzburg Michael – ‘3’ for 6/10/20 re: Iovance Biotherapeutics, Inc.

On:  Tuesday, 6/23/20, at 9:00pm ET   ·   For:  6/10/20   ·   Accession #:  1104659-20-76172   ·   File #:  1-36860

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 6/23/20  Swartzburg Michael                3                      1:7K   Iovance Biotherapeutics, Inc.     Toppan Merrill/FA

Initial Statement of Beneficial Ownership of Securities by an Insider   —   Form 3   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 3           Ownership Document -- tm2023254d1_3.xml/2.6         HTML      3K 




        

This ‘3’ Document is an XML Data File that may be rendered in various formats:

  Form 3    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Ownership Document
 
FORM 3UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0104
Estimated average burden
hours per response:0.5
1. Name and Address of Reporting Person*
Swartzburg Michael

(Last)(First)(Middle)
C/O IOVANCE BIOTHERAPEUTICS, INC.
999 SKYWAY ROAD, SUITE 150

(Street)
SAN CARLOSCA94070

(City)(State)(Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
6/10/20
3. Issuer Name and Ticker or Trading Symbol
IOVANCE BIOTHERAPEUTICS, INC. [ IOVA ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
XOfficer (give title below) Other (specify below)
VP, Finance
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year)3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (Right to Buy) (1) 3/4/28Common Stock95,00019.5D
Stock Option (Right to Buy) (2) 3/3/29Common Stock35,00011.26D
Stock Option (Right to Buy) (3) 1/19/30Common Stock46,50023.88D
Explanation of Responses:
(1)  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.
(2)  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.
(3)  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 6/23/20
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

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