Iovance interim CEO has 15,626 RSUs vest

Interim CEO & General Counsel Frederick Vogt had RSUs vest into shares at IOVA, with a portion withheld to cover taxes and the remainder of the grant vesting quarterly.

Rhea-AI Filing Summary

IOVANCE BIOTHERAPEUTICS, INC. (IOVA) reported that Interim CEO & General Counsel Frederick G. Vogt had 15,626 Restricted Stock Units (RSUs) vest on September 8, 2026, converting into an equal number of common shares. Of these, 6,638 shares were withheld by the company to satisfy mandatory tax withholding obligations, which the disclosure states is not an open market sale. Following this RSU vesting event, Vogt continues to hold 93,756 RSUs from the March 5, 2025 grant, which are scheduled to vest in equal quarterly installments.

Insider Trade Summary

15,626 shares exercised/converted

Exercise 3 txns

Insider Vogt Frederick G

Role Interim CEO & General Counsel

Type	Security	Shares	Price	Value
Exercise	Restricted Stock Units F4, F5, F6	15,626	$0.00	$0.00
Exercise	Common Stock F1	15,626	$0.00	$0.00
Tax Withholding	Common Stock F2, F3	6,638	$8.70	$58K

Holdings After Transaction: Restricted Stock Units — 93,756 contracts (Direct); Common Stock — 595,447 shares (Direct)

Footnotes (6)

1. F1. Represents such shares underlying the restricted stock units ("RSUs") which vested on the transaction date.
2. F2. 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. F3. Represents common stock remaining after deducting the common stock withheld for taxes.
4. F4. Each RSU represents a contingent right to receive one share of the Issuer's common stock.
5. F5. The remaining RSUs will vest in equal quarterly installments.
6. F6. Such aggregate number reflects the remainder of such RSUs granted on March 5, 2025, but does not include any other RSUs held by such Reporting Person.

Key Figures

RSUs vested: 15,626 units Shares withheld for taxes: 6,638 shares Tax-withholding price: $8.70 per share +3 more

6 metrics

RSUs vested 15,626 units RSUs that vested for Frederick Vogt on September 8, 2026

Shares withheld for taxes 6,638 shares Common shares withheld to satisfy mandatory tax withholding at vesting

Tax-withholding price $8.70 per share Value applied to the 6,638 shares withheld for tax obligations

Remaining RSUs from 2025 grant 93,756 units RSUs remaining from the March 5, 2025 grant after this vesting

RSUs underlying vested grant 15,626 units Each RSU represents a contingent right to receive one share of common stock

Exercise/withholding transactions 1 exercise; 1 tax-withholding disposition Derivative exercise of RSUs and related F-code withholding transaction reported

Key Terms

Restricted Stock Units, mandatory tax withholding requirements, Exercise or conversion of derivative security

3 terms

Restricted Stock Units financial

"Represents such shares underlying the restricted stock units ("RSUs") which vested"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

mandatory tax withholding requirements financial

"to satisfy the mandatory tax withholding requirements upon vesting of the RSUs"

Exercise or conversion of derivative security financial

"transaction code description "Exercise or conversion of derivative security""

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider equity activity did IOVA report for Frederick Vogt on September 8, 2026?

IOVA reported that 15,626 RSUs held by Interim CEO & General Counsel Frederick Vogt vested into common stock on September 8, 2026, with a portion of the resulting shares withheld to cover mandatory tax withholding obligations.

How many IOVA shares were withheld for taxes from Frederick Vogt’s RSU vesting?

The filing states that 6,638 shares of IOVA common stock were withheld by the issuer to satisfy mandatory tax withholding requirements upon vesting of the RSUs. It clarifies that this withholding is not an open market sale of securities.

Did Frederick Vogt of IOVA sell any shares in the open market in this Form 4?

No. The Form 4 explains that the 6,638 shares reported with code F were withheld by the issuer for tax withholding upon RSU vesting and explicitly notes that this transaction is not an open market sale of securities.

How many Restricted Stock Units does Frederick Vogt still hold at IOVA from the March 5, 2025 grant?

After this vesting event, Frederick Vogt holds 93,756 RSUs remaining from the March 5, 2025 grant, according to the filing. These remaining RSUs are scheduled to vest in equal quarterly installments going forward.

Were Frederick Vogt’s IOVA transactions reported under a Rule 10b5-1 trading plan?

No. The Form 4 indicates that the Rule 10b5-1 checkbox is not affirmed, and the footnotes describe the transactions as RSU vesting and tax withholding, not as trades executed under a Rule 10b5-1 plan.

What is the price used for the tax-withholding shares in Frederick Vogt’s IOVA Form 4?

For the tax-withholding transaction, the Form 4 reports 6,638 shares of common stock withheld at a price of $8.70 per share, used to satisfy the mandatory tax withholding related to the RSU vesting.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

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Available on EDGAR 09/10/2026 - 05:01 PM Accepted by SEC EDGAR 09/10/2026 - 05:01 PM Learn about SEC filing dates

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 CALIFORNIA 94070

(City) (State) (Zip)

UNITED STATES

(Country)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/08/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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)	09/08/2026		M		15,626	A	$0	602,085	D
Common Stock(2)	09/08/2026		F		6,638	D	$8.7	595,447(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)	09/08/2026		M			15,626	(5)	(5)	Common stock	15,626	$0.00	93,756(6)	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 5, 2025, but does not include any other RSUs held by such Reporting Person.

	/s/ Frederick G. Vogt	09/10/2026
	** 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.
* Form 4: SEC 1474 (03-26)