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IOVANCE Biotherapeutics (IOVA) interim CEO reports RSU vesting and tax share withholding

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

IOVANCE Biotherapeutics interim CEO and General Counsel Frederick G. Vogt reported vesting of restricted stock units and related tax withholding. On March 2, 2026, RSUs covering 52,087 shares of common stock vested and were delivered at no cost through derivative exercises.

The company then withheld 22,809 common shares at $3.79 per share to cover mandatory tax obligations, which the filing clarifies was not an open market sale of securities. After these transactions, Vogt directly owned 493,800 shares of common stock, with remaining RSUs scheduled to vest in equal quarterly installments.

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Insider Vogt Frederick G
Role Interim CEO & General Counsel
Type Security Shares Price Value
Exercise Restricted Stock Units 41,669 $0.00 --
Exercise Restricted Stock Units 10,418 $0.00 --
Exercise Common Stock 52,087 $0.00 --
Tax Withholding Common Stock 22,809 $3.79 $86K
Holdings After Transaction: Restricted Stock Units — 166,675 shares (Direct); Common Stock — 516,609 shares (Direct)
Footnotes (1)
  1. Represents such shares underlying the restricted stock units ("RSUs") which vested on the transaction date. Represents shares withheld by the Issuer to satisfy the mandatory tax withholding requirements upon vesting of the RSUs. This is not an open market sale of securities. Represents common stock remaining after deducting the common stock withheld for taxes. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The remaining RSUs will vest in equal quarterly installments. Such aggregate number reflects the remainder of such RSUs granted on March 1, 2024, but does not include any other RSUs held by such Reporting Person. Such aggregate number reflects the remainder of such RSUs granted on March 2, 2023, but does not include any other RSUs held by such Reporting Person.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Vogt Frederick G
(Last) (First) (Middle)
C/O IOVANCE BIOTHERAPEUTICS, INC.
825 INDUSTRIAL ROAD, SUITE 100
(Street)
SAN CARLOS CA 94070
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
IOVANCE BIOTHERAPEUTICS, INC. [ IOVA ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Interim CEO & General Counsel
3. Date of Earliest Transaction (Month/Day/Year)
03/02/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock(1) 03/02/2026 M 52,087 A $0 516,609 D
Common Stock(2) 03/02/2026 F 22,809 D $3.79 493,800(3) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units (4) 03/02/2026 M 41,669 (5) (5) Common stock 41,669 $0.00 166,675(6) D
Restricted Stock Units (4) 03/02/2026 M 10,418 (5) (5) Common stock 10,418 $0.00 0(7) D
Explanation of Responses:
1. Represents such shares underlying the restricted stock units ("RSUs") which vested on the transaction date.
2. Represents shares withheld by the Issuer to satisfy the mandatory tax withholding requirements upon vesting of the RSUs. This is not an open market sale of securities.
3. Represents common stock remaining after deducting the common stock withheld for taxes.
4. Each RSU represents a contingent right to receive one share of the Issuer's common stock.
5. The remaining RSUs will vest in equal quarterly installments.
6. Such aggregate number reflects the remainder of such RSUs granted on March 1, 2024, but does not include any other RSUs held by such Reporting Person.
7. Such aggregate number reflects the remainder of such RSUs granted on March 2, 2023, but does not include any other RSUs held by such Reporting Person.
/s/ Frederick G. Vogt 03/04/2026
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did IOVA’s Frederick Vogt report on March 2, 2026?

Frederick G. Vogt reported RSUs converting into 52,087 shares of IOVANCE common stock on March 2, 2026. These resulted from exercises of restricted stock units and increased his direct holdings before a separate tax-withholding share disposition.

How many IOVA shares were withheld for taxes in Frederick Vogt’s Form 4?

The Form 4 shows 22,809 IOVANCE common shares were withheld at $3.79 per share to satisfy mandatory tax withholding on vested RSUs. The filing notes this withholding was not an open market sale of securities.

How many IOVA shares does Frederick Vogt own after these Form 4 transactions?

After the reported RSU vesting and tax-withholding disposition, Frederick G. Vogt directly owned 493,800 shares of IOVANCE common stock. This total reflects shares remaining after deducting those withheld to cover tax obligations on the vested RSUs.

What do the vested RSUs represent in the IOVA Form 4 for Frederick Vogt?

Each RSU represents a contingent right to receive one share of IOVANCE common stock. The reported transactions show RSUs granted on March 1, 2024 and March 2, 2023 vesting and converting into shares as part of Vogt’s equity compensation.

Will Frederick Vogt receive additional IOVA shares from unvested RSUs?

Yes. The filing states the remaining RSUs for Frederick G. Vogt will vest in equal quarterly installments. The aggregate remaining RSUs relate to grants made on March 1, 2024 and March 2, 2023, in addition to any other RSUs he may hold.

Was there any open market sale of IOVA stock in Frederick Vogt’s Form 4?

No. The disposition of 22,809 IOVANCE shares was to satisfy mandatory tax withholding on vested RSUs. The filing explicitly clarifies this tax-withholding transaction was not an open market sale of securities into the market.