SEC Form 4 · accession 0001104659-26-071895
IOVANCE BIOTHERAPEUTICS, INC. · IOVA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raj K. Puri
Officer — Chief Regulatory Officer
Period of report
Jun 5, 2026
Accepted (ET)
Jun 9, 2026 · 5:00 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001425205
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 5, 2026 | M | 9,766 | $0.00 | A | 251,957 | D | |
| Common StockF2,F3 | Jun 5, 2026 | F | 3,843 | $4.23 | D | 248,114 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF6,F4,F5 | — | Jun 5, 2026 | M | 9,766 | D | — | — | Common stock | 9,766 | 68,365 | D |
Explanation of responses
- F1Represents such shares underlying the restricted stock units ("RSUs") which vested on the transaction date.
- F2Represents shares withheld by the Issuer to satisfy the mandatory tax withholding requirements upon vesting of the RSUs. This is not an open market sale of securities.
- F3Represents the common stock remaining after deducting the common stock withheld for taxes.
- F4Each RSU represents a contingent right to receive one share of the Issuer's common stock.
- F5The remaining RSUs will vest in equal quarterly installments.
- F6Such aggregate number reflects the remainder of such RSUs granted on March 5, 2025, but does not include any other RSUs held by such Reporting Person.