Form 4 for IOVA IOVANCE BIOTHERAPEUTICS, INC.
Accepted 2023-04-18 00:00:00 ET · period of report 2023-04-14 · accession 0001104659-23-046844 · 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 | 2023-04-18 | 2023-04-14 | IOVA | Vogt Frederick G | GC, Interim CEO | F - Tax | $5.64 | -8,851 | 60.9K | -13% | -$49.9K |
| D | 2023-04-18 | 2023-04-14 | IOVA | Vogt Frederick G | GC, Interim CEO | M - OptEx | $0.00 | +20.8K | 69.7K | +43% | $0 |
| D | 2023-04-18 | 2023-04-14 | IOVA | Vogt Frederick G | GC, Interim CEO | M - OptEx | $0.00 | -20.8K | 145.8K | -12% | $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 | 2023-04-14 | F | D | 8,851 | $5.64 | 60,867 | 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 common stock remaining after deducting the common stock withheld for taxes. |
| 2 | Common | Common Stock | 2023-04-14 | M | A | 20,834 | $0.00 | 69,718 | D | — | — | (F1) 20,834 of the restricted stock units ("RSUs") issued to the Reporting Person on January 14, 2022 vested and settled on April 14, 2023. |
| 3 | Derivative | Restricted Stock Units | 2023-04-14 | M | D | 20,834 | $0.00 | 145,841 | D | — · — to — | 20,834 Common stock | (F4) Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. (F5) The remaining RSUs will vest in seven equal quarterly installments. |