IOVANCE interim CEO reports RSU vesting, tax withholding

IOVANCE BIOTHERAPEUTICS, INC. interim CEO and General Counsel Frederick G. Vogt reported equity compensation-related transactions.

Rhea-AI Filing Summary

IOVANCE BIOTHERAPEUTICS, INC. interim CEO and General Counsel Frederick G. Vogt reported equity compensation-related transactions. On March 5, 2026, 62,493 restricted stock units (RSUs) vested, converting into 62,493 shares of common stock at a stated price of $0.00 per share.

The company withheld 26,755 common shares at $4.58 per share to cover mandatory tax withholding on the RSU vesting, which is described as not an open market sale. After these transactions, Vogt directly owned 529,538 shares of common stock and 125,007 RSUs from the referenced grant.

Insider Trade Summary

62,493 shares exercised/converted

Exercise 3 txns

Insider Vogt Frederick G

Role Interim CEO & General Counsel

Type	Security	Shares	Price	Value
Exercise	Restricted Stock Units	62,493	$0.00	$0.00
Exercise	Common Stock	62,493	$0.00	$0.00
Exercise Price or Tax Liability	Common Stock	26,755	$4.58	$123K

Holdings After Transaction: Restricted Stock Units — 125,007 contracts (Direct); Common Stock — 529,538 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.

FAQ

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

What insider transactions did IOVANCE (IOVA) report for Frederick G. Vogt?

Frederick G. Vogt reported vesting of 62,493 restricted stock units and related common stock activity. The RSUs converted into 62,493 common shares, with a portion of those shares withheld by the company to satisfy tax obligations tied to the vesting event.

How many IOVANCE (IOVA) RSUs vested for Frederick G. Vogt in this Form 4?

The filing shows 62,493 restricted stock units vested for Frederick G. Vogt on March 5, 2026. Each RSU represents a contingent right to receive one share of common stock, so the vesting resulted in issuance of 62,493 common shares to the reporting person.

Were any of Frederick G. Vogt’s IOVANCE (IOVA) shares sold on the open market?

No open market sale is indicated. The filing states 26,755 common shares were withheld by the issuer solely to satisfy mandatory tax withholding requirements upon RSU vesting, and explicitly clarifies this withholding is not an open market sale of securities.

What is Frederick G. Vogt’s IOVANCE (IOVA) common stock ownership after these transactions?

After the reported transactions, Frederick G. Vogt directly owned 529,538 shares of IOVANCE common stock. This figure reflects his holdings after deducting the 26,755 shares withheld by the company to cover tax obligations arising from the vesting of his restricted stock units.

How many IOVANCE (IOVA) restricted stock units does Frederick G. Vogt still hold?

Following the vesting, the filing reports 125,007 restricted stock units remaining from the March 5, 2025 grant. Each RSU equals one share of common stock upon vesting, and the remaining units are scheduled to vest in equal quarterly installments going forward.

What is the nature of the tax-related share disposition in IOVANCE (IOVA) Form 4?

The Form 4 shows a disposition of 26,755 common shares at $4.58 per share coded as a tax-withholding transaction. These shares were withheld by IOVANCE to meet mandatory tax obligations tied to RSU vesting and are specifically described as not an open market transaction.

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

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Accepted by SEC EDGAR 03/06/2026 - 05:02 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
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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)
03/05/2026

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)	03/05/2026		M		62,493	A	$0	556,293	D
Common Stock(2)	03/05/2026		F		26,755	D	$4.58	529,538(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)	03/05/2026		M			62,493	(5)	(5)	Common stock	62,493	$0.00	125,007(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	03/06/2026
	** 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).
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