Iovance CFO acquires 12,500 shares as stock grant vests

Available on EDGAR 11/10/2026 - 05:00 PM EST Accepted by SEC EDGAR 11/10/2026 - 05:00 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Iovance Biotherapeutics, Inc. Chief Financial Officer Corleen M. Roche had 12,500 restricted stock units vest on November 6, 2026, and acquired 12,500 common shares; each unit represents a contingent right to one common share. The issuer withheld 5,311 common shares for mandatory tax withholding upon vesting, not as an open-market sale. Afterward, 87,505 RSUs remained from the August 6, 2025 grant, excluding her other RSUs; the remainder will vest in equal quarterly installments.

Insider Trade Summary

12,500 shares exercised/converted

Exercise 3 txns

Insider Roche Corleen M.

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Exercise	Restricted Stock Units F4, F5, F6	12,500	$0.00	$0.00
Exercise	Common Stock F1	12,500	$0.00	$0.00
Tax Withholding	Common Stock F2, F3	5,311	$8.04	$43K

Holdings After Transaction: Restricted Stock Units — 87,505 units (Direct); Common Stock — 35,946 shares (Direct)

Holdings Before and After: Restricted Stock Units, 100,005 to 87,505 units (Direct); Common Stock, 28,757 to 35,946 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 the 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 August 6, 2025, but does not include any other RSUs held by such Reporting Person.

Key Figures

Restricted stock units vested: 12,500 RSUs Common shares acquired: 12,500 shares Common shares withheld for tax: 5,311 shares +2 more

5 metrics

Restricted stock units vested 12,500 RSUs November 6, 2026

Common shares acquired 12,500 shares Upon vesting on November 6, 2026

Common shares withheld for tax 5,311 shares Mandatory tax withholding upon vesting on November 6, 2026

Remaining RSUs 87,505 RSUs Remainder of the grant made August 6, 2025, excluding other RSUs held by Corleen M. Roche

Reported per-share price $8.04 per share Reported for the 5,311 common shares withheld for mandatory tax withholding

Key Terms

restricted stock units, contingent right, mandatory tax withholding requirements

3 terms

restricted stock units financial

"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.

contingent right technical

"Each RSU represents a contingent right to receive one share"

mandatory tax withholding requirements financial

"to satisfy the mandatory tax withholding requirements upon vesting"

FAQ

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

How many IOVA shares did Corleen M. Roche receive from vested RSUs?

On November 6, 2026, 12,500 RSUs vested and Corleen M. Roche acquired 12,500 common shares. Each RSU represents a contingent right to receive one common share.

Why were IOVA shares withheld from Corleen M. Roche?

The issuer withheld 5,311 common shares to satisfy mandatory tax withholding requirements upon vesting. The withheld shares were not part of an open-market sale.

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

Form 4 Insider Transactions: What Each Field Means →

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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^*

Roche Corleen M.

(Last) (First) (Middle)

C/O IOVANCE BIOTHERAPEUTICS, INC.

300 ROUSE BLVD.

(Street)

PHILADELPHIA PENNSYLVANIA 19112

(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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Financial Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
11/06/2026

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	11/06/2026(1)		M		12,500	A	$0	41,257	D
Common Stock	11/06/2026(2)		F		5,311	D	$8.04	35,946(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)	11/06/2026		M			12,500	(5)	(5)	Common Stock	12,500	$0.00	87,505(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 the 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 August 6, 2025, but does not include any other RSUs held by such Reporting Person.

	/s/ Corleen Roche	11/10/2026
	** 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)