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

Iovance Biotherapeutics (IOVA) CFO nets 28,757 shares after RSU tax withholding

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

Rhea-AI Filing Summary

IOVANCE BIOTHERAPEUTICS, INC. Chief Financial Officer Corleen M. Roche reported the vesting of 49,995 Restricted Stock Units on August 6, 2026, converting into an equal number of common shares. Of these, 21,238 shares were withheld at $6.21 per share to satisfy mandatory tax withholding, leaving 28,757 shares of common stock from this vesting. Following the transaction, she continues to hold 100,005 RSUs from the August 6, 2025 grant, separate from any other RSUs she holds.

Positive

  • None.

Negative

  • None.
Insider Roche Corleen M.
Role Chief Financial Officer
Type Security Shares Price Value
Exercise Restricted Stock Units F4, F5, F6 49,995 $0.00 $0.00
Exercise Common Stock F1 49,995 $0.00 $0.00
Tax Withholding Common Stock F2, F3 21,238 $6.21 $132K
Holdings After Transaction: Restricted Stock Units — 100,005 shares (Direct); Common Stock — 28,757 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.
RSUs vested 49,995 units Restricted Stock Units converted into common stock on August 6, 2026
Shares withheld for taxes 21,238 shares Common stock withheld to satisfy mandatory tax withholding on RSU vesting
Withholding price $6.21 per share Value used for shares withheld to cover tax obligations
Net shares from vesting 28,757 shares Common stock remaining after deducting shares withheld for taxes
Remaining RSUs from 2025 grant 100,005 units Unvested RSUs from August 6, 2025 grant still held by the CFO
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
"shares withheld by the Issuer to satisfy the mandatory tax withholding requirements"
Exercise or conversion of derivative security financial
"transaction_code_description": "Exercise or conversion of derivative security"

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Form 4 Insider Transactions: What Each Field Means →

FAQ

What did IOVANCE BIOTHERAPEUTICS (IOVA) CFO Corleen Roche report on this Form 4?
Corleen M. Roche reported the vesting of 49,995 RSUs into common stock. The filing also shows shares withheld to cover tax obligations and remaining unvested RSUs from a prior grant.

How many IOVA RSUs vested for the CFO in this Form 4 event?
A total of 49,995 Restricted Stock Units vested for the CFO. Each RSU represents a right to receive one share of Iovance common stock, resulting in issuance of the same number of common shares.

How many IOVA shares were withheld for taxes in the CFO’s Form 4?
The company withheld 21,238 shares of common stock at $6.21 per share. According to the disclosure, these shares were withheld to satisfy mandatory tax withholding requirements, not sold in the open market.

How many IOVA shares did the CFO retain from this RSU vesting?
From the 49,995 vested shares, the CFO retained 28,757 shares of common stock. This amount represents the shares remaining after deducting those withheld to cover tax obligations tied to the vesting.

What RSU balance remains for the IOVA CFO after this transaction?
The filing states the CFO continues to hold 100,005 RSUs from the August 6, 2025 grant. This figure reflects the remaining RSUs from that specific grant and does not include any other RSUs she may hold.

Was the IOVA CFO’s Form 4 transaction an open market sale?
No. The disclosure specifies that 21,238 shares were withheld by Iovance to satisfy tax withholding on vesting. It explicitly notes this was not an open market sale of securities.
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*
Roche Corleen M.
(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)
Director10% Owner
XOfficer (give title below)Other (specify below)
Chief Financial Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
08/06/2026		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 Stock08/06/2026(1)M49,995A$049,995D
Common Stock08/06/2026(2)F21,238D$6.2128,757(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)08/06/2026M49,995 (5) (5)Common Stock49,995$0.00100,005(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 Roche08/10/2026
** 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