SEC Form 3 · accession 0001250853-18-000042
IOVANCE BIOTHERAPEUTICS, INC. · IOVA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Weiser
Director
Period of report
Mar 15, 2018
Accepted (ET)
Mar 19, 2018 · 4:21 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 | — | — | — | 77,632 | D | ||
| Common StockF1 | holding | — | — | — | 28,484 | I | By Actin Capital Partners, LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantF2 | $2.50 | holding | — | — | — | — | Nov 4, 2018 | Common Stock | 25,000 | — | D |
Explanation of responses
- F1The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
- F2The warrants are currently exercisable.