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  4. [Form 4] IOVANCE BIOTHERAPEUTICS, INC. Insider Trading Activity

Iovance interim CEO has 41,669 stock units vest into shares

IOVA’s interim CEO had RSUs vest into common stock, with a portion withheld to cover tax obligations rather than sold in the market.

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

Rhea-AI Filing Summary

IOVANCE BIOTHERAPEUTICS, INC. (IOVA) reported that Interim CEO & General Counsel Frederick G. Vogt had 41,669 restricted stock units (RSUs) vest on September 1, 2026, resulting in the acquisition of an equal number of common shares. Of these, 17,702 shares were withheld by the company at $8.28 per share to satisfy mandatory tax withholding, which the disclosure states was not an open market sale. Following the vesting, 83,338 RSUs from the March 1, 2024 grant remain unvested, in addition to other RSUs he holds.

Positive

  • None.

Negative

  • None.
Insider Vogt Frederick G
Role Interim CEO & General Counsel
Type Security Shares Price Value
Exercise Restricted Stock Units F4, F5, F6 41,669 $0.00 $0.00
Exercise Common Stock F1 41,669 $0.00 $0.00
Tax Withholding Common Stock F2, F3 17,702 $8.28 $147K
Holdings After Transaction: Restricted Stock Units — 83,338 contracts (Direct); Common Stock — 586,459 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 1, 2024, but does not include any other RSUs held by such Reporting Person.
RSUs vested 41,669 units RSUs vested and converted into common stock on September 1, 2026
Shares withheld for taxes 17,702 shares Common stock withheld to satisfy mandatory tax withholding on RSU vesting
Withholding price per share $8.28 per share Value used for shares withheld to satisfy tax obligations
Remaining RSUs from March 1, 2024 grant 83,338 units Unvested RSUs remaining from that specific grant after the reported vesting
RSUs converted into common stock 41,669 shares Number of common shares received upon RSU vesting
Restricted Stock Units ("RSUs") financial
"Represents such shares underlying the restricted stock units ("RSUs") which vested"
Restricted stock units (RSUs) are a company promise to give an employee shares of stock (or cash equivalent) in the future, but only after certain conditions—usually staying with the company for a set time or hitting performance goals—are met. Investors watch RSUs because when they vest they increase the number of shares outstanding and can lead insiders to sell shares, affecting share price, company dilution and the true cost of employee pay.
mandatory tax withholding requirements financial
"satisfy the mandatory tax withholding requirements upon vesting of the RSUs"
open market sale of securities financial
"This is not an open market sale of securities."
contingent right financial
"Each RSU represents a contingent right to receive one share"

FAQ

What insider transaction did IOVA report for Frederick G. Vogt on September 1, 2026?
IOVA reported that Frederick G. Vogt had 41,669 RSUs vest, converting into the same number of common shares on September 1, 2026, as part of his equity compensation.

How many IOVA shares were withheld for taxes in this Form 4 filing?
The company withheld 17,702 shares of IOVA common stock at $8.28 per share to satisfy mandatory tax withholding when the RSUs vested; the filing specifies this was not an open market sale.

How many IOVA RSUs remain from Frederick Vogt’s March 1, 2024 grant?
After the vesting event, 83,338 RSUs remain from the March 1, 2024 grant. The filing notes this number covers only that grant and does not include other RSUs he holds.

Were the IOVA insider transactions made under a Rule 10b5-1 trading plan?
No. The Form 4 indicates that the Rule 10b5-1 checkbox is not affirmed, and there is no footnote stating the transactions were made under a Rule 10b5-1 trading plan.

Did Frederick Vogt sell IOVA shares in the open market in this Form 4?
No. The disposition of 17,702 shares was solely to satisfy mandatory tax withholding on vesting RSUs, and the filing explicitly states this is not an open market sale of securities.

What does each RSU reported by IOVA represent in this Form 4?
Each RSU represents a contingent right to receive one share of IOVANCE BIOTHERAPEUTICS, INC. common stock, according to the footnotes in the Form 4.

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

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SEC Form 4
FORM 4UNITED 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)
XDirector10% Owner
XOfficer (give title below)Other (specify below)
Interim CEO & General Counsel
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
09/01/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock(1)09/01/2026M41,669A$0604,161D
Common Stock(2)09/01/2026F17,702D$8.28586,459(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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units(4)09/01/2026M41,669 (5) (5)Common stock41,669$0.0083,338(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 1, 2024, but does not include any other RSUs held by such Reporting Person.
/s/ Frederick G. Vogt09/03/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR