Wayne P. Rothbaum - 20 Feb 2024 Form 4 Insider Report for IOVANCE BIOTHERAPEUTICS, INC. (IOVA)

Reporting relationship: Director
Issuer ticker: IOVA
Reported as of: 20 Feb 2024
Net transaction value: +$45,750,000
SEC form: 4
Accepted by SEC: 20 Feb 2024, 16:11:20 UTC
Prior SEC filing: 15 Sep 2023
Next SEC filing: 05 Mar 2024
Source filing: View source filing
Reporting owner signature: /s/ Wayne P.Rothbaum

Key filing fact

Wayne P. Rothbaum filed Form 4 for IOVANCE BIOTHERAPEUTICS, INC. (IOVA) on 20 Feb 2024.

Key facts

This page summarizes Wayne P. Rothbaum's Form 4 filing for IOVANCE BIOTHERAPEUTICS, INC. (IOVA).
1 reported transaction and 0 derivative rows are listed below.
Accepted by SEC: 20 Feb 2024, 16:11.

Change

Previous filing in this sequence was filed on 15 Sep 2023.
Current net transaction value: +$45,750,000.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

IOVA transaction

Common Stock

Purchase

Transaction value: $45,750,000
Shares: +5,000,000
Change %: +22%
Price: $9.15
Shares after: 28,067,333
Date: 20 Feb 2024
Ownership: By Quogue Capital LLC
Footnotes: F1, F2, F3

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 3 footnotes

Footnote F1

Such shares may be held directly by Quogue Capital LLC or are held by one or more entities controlled by Quogue Capital LLC. The reporting person is the sole managing member of Quogue Capital LLC, and therefore, he is deemed to beneficially own such shares of common stock of the Issuer.

Footnote F2

The numbers reported in column 5 exclude 1,932,667 shares of common stock underlying 1,932,667 shares of Series B Preferred Stock of the Issuer beneficially owned by Quogue Capital LLC.

Footnote F3

Such shares purchased pursuant to Issuer's underwritten offering, which priced on 02/20/2024.