SEC Form 4 · accession 0001144204-18-063613
IOVANCE BIOTHERAPEUTICS, INC. · IOVA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wayne P. Rothbaum
Director
Period of report
Dec 4, 2018
Accepted (ET)
Dec 7, 2018 · 4:32 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001425205
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F3 | Dec 4, 2018 | P | 921,053 | $10.31 | A | 6,767,333 | I | By Quogue Capital LLC |
| Common StockF2,F3 | Dec 6, 2018 | P | 300,000 | $9.86 | A | 7,067,333 | I | By Quogue Capital LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is an average price. These shares were purchased by Quogue Capital LLC in multiple transactions at prices ranging from $9.88 to $10.51, inclusive. The reporting person undertakes to provide to Iovance Biotherapeutics, Inc., the staff of the Securities and Exchange Commission, and others pursuant to applicable securities laws, upon request, full information regarding the number of shares sold at each price within the ranges set forth in footnotes (1) and (2) to this Form 4.
- F2The price reported in Column 4 is an average price. These shares were purchased by Quogue Capital LLC in multiple transactions at prices ranging from $9.40 to $10.07, inclusive.
- F3The reporting person is the managing member of Quogue Capital LLC and so may be deemed to beneficially own such shares of common stock. The numbers reported in column 6 exclude 1,932,667 shares of common stock underlying 1,932,667 shares of Series B Preferred Stock held by Quogue Capital LLC.