SEC Form 3 · accession 0001250853-17-000038
IOVANCE BIOTHERAPEUTICS, INC. · IOVA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Franco Valle
Officer — Principal Accounting Officer
Period of report
Aug 22, 2016
Accepted (ET)
Apr 3, 2017 · 7:44 pm EDT
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 Stock | holding | — | — | — | 130 | D |
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 | holding | — | — | — | — | Aug 16, 2026 | Common Stock | 85,000 | — | D |
| Stock Option (right to buy)F2 | $7.45 | holding | — | — | — | — | Mar 16, 2027 | Common Stock | 6,200 | — | D |
Explanation of responses
- F1The option will vest as to 28,333 shares on July 25, 2017 and the remaining 56,667 shares will vest quarterly over the next two years after July 25, 2017, provided the Reporting Person is still providing services to the Issuer on the respective dates.
- F2The option will vest as to 2,067 shares on February 1, 2018 and the remaining 4,133 shares will vest quarterly over the next two years after February 1, 2018, provided the Reporting Person is still providing services to the Issuer on the respective dates.