|
||||||||||||||||||||||||||
| SEC Info℠ | | | Home | | | Search | | | My Interests | | | Help | | | Sign In | | | Please Sign In | |||||||
|
||||||||||||||||||||||||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 5/27/20 Iovance Biotherapeutics, Inc. 8-K:5,8,9 5/27/20 12:508K Toppan Merrill/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 36K 2: EX-3.1 Articles of Incorporation/Organization or Bylaws HTML 161K 3: EX-99.1 Miscellaneous Exhibit HTML 29K 9: R1 Cover HTML 50K 10: XML IDEA XML File -- Filing Summary XML 12K 8: XML XBRL Instance -- tm2021089d1_8k_htm XML 15K 7: EXCEL IDEA Workbook of Financial Reports XLSX 6K 5: EX-101.LAB XBRL Labels -- iova-20200527_lab XML 97K 6: EX-101.PRE XBRL Presentations -- iova-20200527_pre XML 64K 4: EX-101.SCH XBRL Schema -- iova-20200527 XSD 13K 12: JSON XBRL Instance as JSON Data -- MetaLinks 25± 33K 11: ZIP XBRL Zipped Folder -- 0001104659-20-066367-xbrl Zip 50K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (date of earliest event reported): i May 27, 2020
i IOVANCE BIOTHERAPEUTICS, INC.
(Exact Name of Registrant as Specified in Charter)
| i Delaware | ||
| (State of Incorporation) | ||
| i 001-36860 | i 75-3254381 | |
| Commission File Number | (I.R.S. Employer Identification No.) | |
| i 999 Skyway Road, i Suite 150 | ||
| i San Carlos, i California | i 94070 | |
| (Address of Principal Executive Offices) | (Zip Code) | |
| ( i 650) i 260-7120 | ||
| (Registrant’s Telephone Number, Including Area Code) | ||
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| i ¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425). |
| i ¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12). |
| i ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)). |
| i ¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)). |
Indicate by check mark whether the registrant is an emerging growth company as defined in as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). Emerging growth company i ¨
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading Symbol(s) | Name of each exchange on which registered |
| i Common stock, par value $0.000041666 per share | i IOVA | i The Nasdaq Stock Market, LLC |
C:
| Item 5.03 | Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year. |
Effective as of May 27, 2020, the Board of Directors of Iovance Biotherapeutics, Inc. (the “Company”) adopted an amendment and restatement of the Company’s bylaws (the “Amended and Restated Bylaws”) pursuant to which a new Article X was added, which provides that, unless the Company consents in writing to the selection of an alternative forum, the federal district courts of the United States of America shall be the exclusive forum for the resolution of any complaint asserting a cause of action arising under the Securities Act of 1933, as amended (the “Securities Act”).
The foregoing description of the amendments made in the Amended and Restated Bylaws is qualified by reference to the Amended and Restated Bylaws, a copy of which is attached hereto as Exhibit 3.1 and is incorporated herein by reference.
In connection with the amendment to the Company’s bylaws, the Company refers stockholders to the following risk factor:
Provisions in our amended and restated bylaws could limit our stockholders’ ability to obtain a favorable judicial forum for disputes with us or our directors, officers or employees.
Our amended and restated bylaws provide that, unless the Company consents in writing to the selection of an alternative forum, the federal district courts of the United States of America shall be the exclusive forum for the resolution of any complaint asserting a cause of action under the Securities Act. This provision limits the ability of the Company’s shareholders to bring claims under the Securities Act in any court other than the United States federal courts, which ultimately may disadvantage the Company’s shareholders or be cost prohibitive. Notwithstanding the foregoing, there is uncertainty as to whether a court (other than state courts in the State of Delaware, which have recently upheld the validity of such a provision) would enforce such a provision and whether investors can waive compliance with the federal securities laws and the rules and regulations thereunder. Furthermore, the exclusive forum provision only applies to claims brought under the Securities Act, and does not apply to actions arising under the Securities Exchange Act of 1934, as amended, which is already subject to federal courts as the exclusive forum.
If a court were to find these provisions of our amended and restated bylaws inapplicable to, or unenforceable in respect of, one or more of the specified types of actions or proceedings, we may incur additional costs associated with resolving such matters in other jurisdictions, which could adversely affect our business, results of operations and financial condition. Even if we are successful in defending against these claims, litigation could result in substantial costs and be a distraction to management and other employees.
| Item 8.01 | Other Events. |
On May 27, 2020, the Company issued a press release announcing initial data from pivotal Cohort 4 and updated long-term data from Cohort 2 in its C-144-01 study of lifileucel in advanced melanoma.
The full text of the press release is attached hereto as Exhibit 99.1 and incorporated herein by reference.
| Item 9.01 | Financial Statements and Exhibits. |
(d) Exhibits.
|
Exhibit |
Description | |
| 3.1 | Amended and Restated Bylaws of Iovance Biotherapeutics, Inc. | |
| 99.1 | Press Release dated May 27, 2020. |
C:
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Report to be signed on its behalf by the undersigned hereunto duly authorized.
|
Date: May 27, 2020 |
IOVANCE BIOTHERAPEUTICS, INC. | ||
| By: | /s/ MARIA FARDIS | ||
| Maria Fardis, Chief Executive Officer | |||
C:
C:
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on / For Period end: | 5/27/20 | 424B5, 8-K, S-3ASR | ||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 11/18/22 Iovance Biotherapeutics, Inc. 424B5 2:804K Toppan Merrill/FA 2/24/22 Iovance Biotherapeutics, Inc. 10-K 12/31/21 79:10M Toppan Merrill Bridge/FA 2/25/21 Iovance Biotherapeutics, Inc. 10-K 12/31/20 84:11M Toppan Merrill Bridge/FA 2/09/21 Iovance Biotherapeutics, Inc. 424B5 1:799K Toppan Merrill/FA 8/06/20 Iovance Biotherapeutics, Inc. 10-Q 6/30/20 63:7.7M Toppan Merrill/FA |