Form 4 for IOVA IOVANCE BIOTHERAPEUTICS, INC.
Accepted 2023-01-05 00:00:00 ET · period of report 2023-01-03 · accession 0001104659-23-001607 · 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 | GRAF FINCKENSTEIN FRIEDRICH | Chief Medical Off | M - OptEx | $0.00 | +19.7K | 32.6K | +153% | $0 |
| D | 2023-01-05 | 2023-01-03 | IOVA | GRAF FINCKENSTEIN FRIEDRICH | Chief Medical Off | F - Tax | $6.11 | -11.0K | 21.5K | -34% | -$67.4K |
| D | 2023-01-05 | 2023-01-03 | IOVA | GRAF FINCKENSTEIN FRIEDRICH | Chief Medical Off | M - OptEx | $0.00 | -19.7K | 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 | 19,690 | $0.00 | 32,571 | D | — | — | (F1) This is the second and final vesting of the restricted stock units ("RSUs") issued on June 14, 2021. |
| 2 | Common | Common Stock | 2023-01-03 | F | D | 11,023 | $6.11 | 21,548 | D | — | — | (F2) 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. (F3) Represents the common stock remaining after deducting the common stock withheld for taxes. |
| 3 | Derivative | Restricted Stock Units | 2023-01-03 | M | D | 19,690 | $0.00 | 0 | D | — · — to — | 19,690 Common stock | (F4) Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. (F5) As of December 31, 2022, the remaining RSUs have fully vested and were settled on January 3, 2023. |