Form 4 for IOVA IOVANCE BIOTHERAPEUTICS, INC.
Accepted 2023-01-05 00:00:00 ET · period of report 2023-01-03 · accession 0001104659-23-001600 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2023-01-05 | 2023-01-03 | IOVA | Bellemin Jean-Marc | CFO | M - OptEx | $0.00 | +18.9K | 28.4K | +198% | $0 |
| D | 2023-01-05 | 2023-01-03 | IOVA | Bellemin Jean-Marc | CFO | F - Tax | $6.11 | -10.6K | 17.8K | -37% | -$64.5K |
| D | 2023-01-05 | 2023-01-03 | IOVA | Bellemin Jean-Marc | CFO | M - OptEx | $0.00 | -18.9K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-01-03 | M | A | 18,850 | $0.00 | 28,354 | D | — | — | (F1) This is the second and final vesting of the restricted stock units ("RSUs") issued on June 14, 2021. (F2) Represents common stock owned by the Reporting Person, excluding common stock purchased pursuant to the Issuer's 2020 Employee Stock Purchase Plan. |
| 2 | Common | Common Stock | 2023-01-03 | F | D | 10,553 | $6.11 | 17,801 | D | — | — | (F3) Represents shares withheld by the Issuer to satisfy the mandatory tax withholding requirements upon vesting of restricted stock units. This is not an open market sale of securities. (F4) Represents common stock remaining after deducting the common stock withheld for taxes. |
| 3 | Derivative | Restricted Stock Units | 2023-01-03 | M | D | 18,850 | $0.00 | 0 | D | — · — to — | 18,850 Common stock | (F5) Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. (F6) As of December 31, 2022, the remaining RSUs have fully vested and were settled on January 3, 2023. |