Iovance Biotherp SEC Filings

Raj K. Puri, Chief Regulatory Officer of Iovance Biotherapeutics, reported transactions on 09/02/2025 related to restricted stock units (RSUs). On that date 5,470 RSUs vested and were converted into shares, and the issuer withheld 2,467 shares to satisfy mandatory tax withholding. After these transactions the reporting person beneficially owned 212,857 shares (the filing shows 215,324 before withholding). The filing also discloses that 32,817 RSUs remain outstanding from the March 1, 2024 grant and remaining RSUs will vest in equal quarterly installments.

Friedrich Graf Finckenstein, Chief Medical Officer of Iovance Biotherapeutics, reported changes in beneficial ownership on 09/02/2025. On that date 12,697 shares of common stock were acquired upon vesting of restricted stock units (RSUs). To satisfy mandatory tax withholding, the issuer withheld 6,448 shares at an indicated per-share tax withholding price of $2.19, leaving 105,409 shares reported as beneficially owned after the withholding.

Table II shows RSU activity: 3,907 and 8,790 RSUs were reported as vested under two grants, representing underlying common stock amounts reflected in the filing. The reporting person signed the Form 4 on 09/04/2025.

Igor Bilinsky, Chief Operating Officer of Iovance Biotherapeutics (IOVA), reported equity changes on 09/02/2025. Restricted stock units (RSUs) vested that day, resulting in the acquisition of 12,306 common shares (recorded as Code M) at no cash price. To satisfy mandatory tax withholding on the vesting, the issuer withheld 6,250 shares (recorded as Code F) at a price of $2.19 per share rather than an open-market sale, leaving 99,689 shares beneficially owned after the transactions. The filing also lists vested RSU components of 3,516 and 8,790 underlying common shares, with remaining RSU schedules described in the explanatory notes.

Iovance Biotherapeutics, Inc. (IOVA) submitted an 8-K reporting other events and provided a corporate presentation as an exhibit. The filing lists written and soliciting communications under Rule 425 and Rule 14a-12, plus pre-commencement communications under Rules 14d-2(b) and 13e-4(c). The disclosure includes Exhibit 99.1, a corporate presentation dated August 29, 2025, and an Inline XBRL cover page. The document is signed by Frederick G. Vogt, Ph.D., J.D. in his capacity as Interim CEO, President, and General Counsel.

Iovance Biotherapeutics, Inc. filed an 8-K reporting written and soliciting communications under several securities rules and that it has engaged Jefferies to use commercially reasonable efforts to sell the company’s common shares from time to time under customary trading parameters. The filing references pre-commencement and solicitation rules and states the communication is dated August 22, 2025. The 8-K is signed by Frederick G. Vogt, Ph.D., J.D., Interim CEO and President, and General Counsel.

Iovance Biotherapeutics, Inc. filed a prospectus supplement to sell up to $350.0 million of common stock through an amended at-the-market sales agreement with Jefferies LLC. The agreement replaces the prior June 16, 2023 arrangement and allows sales from time to time, with Jefferies acting as agent and receiving up to 3% of gross proceeds. The company noted its common stock traded at $2.60 per share on August 19, 2025, and estimated up to 476.5 million shares outstanding assuming sale of 134.6 million shares at $2.60. Proceeds are intended to fund the commercial launch of Amtagvi, ongoing and planned clinical trials including IOV-LUN-202 and TILVANCE-301, pipeline development, and general corporate purposes. The prospectus highlights dilution risks, potential market price volatility from resale, indemnification to Jefferies, and forward-looking risks related to clinical, regulatory, manufacturing and financing uncertainties.

Corleen M. Roche, Chief Financial Officer of Iovance Biotherapeutics (IOVA), reported equity awards dated 08/06/2025. The Form 4 discloses a grant of 300,000 stock options with a $2.58 exercise price and an expiration date listed as 08/06/2035, and 150,000 restricted stock units (RSUs), each representing a contingent right to one share of common stock. Both awards are held directly following the reported transactions. The awards vest only if the reporting person remains employed: one-third vests on the one-year anniversary of the grant and the remaining two-thirds vest in eight equal quarterly installments over the following two years. The form is signed by Corleen Roche on 08/08/2025.

Iovance Biotherapeutics (IOVA) filed an initial Form 3 reporting that Corleen Roche joined the company as Chief Financial Officer on 08/06/2025. The filing states that Ms. Roche does not beneficially own any securities of the issuer as of that date. The form is an initial statutory disclosure under Section 16 to record the reporting person's relationship and any ownership or derivative positions.