SEC Form 4/A · accession 0001250853-16-000169
IOVANCE BIOTHERAPEUTICS, INC. · IOVA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Maria Fardis
Officer — President and CEO · Director
Period of report
Aug 16, 2016
Accepted (ET)
Aug 19, 2016 · 6:44 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001425205
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $9.10 | Aug 16, 2016 | J | 0 | A | — | — | Common Stock | 0 | 0 | D |
Explanation of responses
- F1On August 16, 2016, the Company granted options to purchase 35,000 shares to its non-executive directors. Dr. Maria Fardis, the reporting person, is the Company's President and Chief Executive Officer and, therefore, was not granted any options. On August 18, 2016, the Company mistakenly filed a Form 4 on behalf of Dr. Fardis reporting the receipt of options to purchase 35,000 shares, which options had not been granted. Accordingly, Dr. Fardis does not own the options reported in the August 18, 2016 Form 4.