New insider Rosinack Matthew W. claimed ownership of 89,129 shares (SEC Form 3)
$IOVA
Biotechnology: Biological Products (No Diagnostic Substances)
Health Care
| FORM 3 |
UNITED 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 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/30/2025 |
3. Issuer Name and Ticker or Trading Symbol
IOVANCE BIOTHERAPEUTICS, INC. [ IOVA ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 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) |
| Common Stock | 89,129(1) | D | |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 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 Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Stock Options (Right to Buy) | (2) | 09/27/2031 | Common Stock | 75,000 | $25.3 | D | |
| Restricted Stock Units | (3) | (3) | Common Stock | 11,721 | (6) | D | |
| Restricted Stock Units | (4) | (4) | Common Stock | 38,287 | (6) | D | |
| Restricted Stock Units | (5) | (5) | Common Stock | 59,060 | (6) | D | |
| Explanation of Responses: |
| 1. Includes 9,089 shares of Iovance Biotherapeutics, Inc.'s (the "Issuer") common stock purchased under the Issuer's 2020 Employee Stock Purchase Plan. |
| 2. The stock option was granted on September 27, 2021. The shares underlying this option are fully vested. |
| 3. The restricted stock units ("RSUs") were granted on March 2, 2023. One-third of the RSUs vested on March 2, 2024. The remaining RSUs will vest or have vested in eight equal quarterly installments thereafter. |
| 4. The RSUs were granted on March 1, 2024. One-third of the RSUs vested on March 1, 2025. The remaining RSUs will vest or have vested in eight equal quarterly installments thereafter. |
| 5. The RSUs were granted on March 5, 2025. One-third of the RSUs will vest on March 5, 2026. The remaining RSUs will vest in eight equal quarterly installments thereafter. |
| 6. Each RSU represents a contingent right to receive one share of the Issuer's common stock. |
| Remarks: |
| On June 30, 2025, Matthew William Rosinack was appointed as the Issuer's interim Principal Financial Officer and Principal Accounting Officer. Mr. Rosinack has served as the Issuer's Senior Vice President, Finance since September 2021. |
| /s/ Matthew William Rosinack | 07/10/2025 | |
| ** Signature of Reporting Person | Date | |
| 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. | ||