Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| IOVANCE BIOTHERAPEUTICS, INC.IOVA · Entity 2090 | Director | March 01, 2024 | March 05, 2024 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
IOVANCE BIOTHERAPEUTICS, INC.
Report date March 01, 2024 · Filed March 05, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Deferred Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 100,000 |
Reported balance
After 2024-03-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-03-01 · Grant · Acquired 100,000 · Balance 100,000 F1: Each deferred restricted stock unit ("DRSU") represents a contingent right to receive one share of the Issuer's common stock and are granted pursuant to the Issuer's 2018 Equity Incentive Plan (as amended). F2: 50% of the RSUs will vest on the 6-month anniversary of the date of grant and the remaining RSUs will vest on the one-year anniversary of the date of grant. Notwithstanding the vesting, the issuance of the common stock will be deferred until the earlier of (i) three months after the Reported Person's resignation or removal from the Board of Directors or no longer providing service because of death or disability, (ii) a change in control (as defined in the DRSU agreement) or (iii) ten years from the Transaction Date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each deferred restricted stock unit ("DRSU") represents a contingent right to receive one share of the Issuer's common stock and are granted pursuant to the Issuer's 2018 Equity Incentive Plan (as amended).
F2: 50% of the RSUs will vest on the 6-month anniversary of the date of grant and the remaining RSUs will vest on the one-year anniversary of the date of grant. Notwithstanding the vesting, the issuance of the common stock will be deferred until the earlier of (i) three months after the Reported Person's resignation or removal from the Board of Directors or no longer providing service because of death or disability, (ii) a change in control (as defined in the DRSU agreement) or (iii) ten years from the Transaction Date.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 01, 2024 Filed Mar 5, 2024 22:56 UTC | IOVANCE BIOTHERAPEUTICS, INC. IOVA · Entity 2090 | GrantDeferred Restricted Stock Unit · Derivative | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-031114 · tm248017-10_4seq1.xml · derivative · entry 1 Rothbaum Wayne P. · CIK 0001423102 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires not disclosed F1 · derivative.exercise_price: Each deferred restricted stock unit ("DRSU") represents a contingent right to receive one share of the Issuer's common stock and are granted pursuant to the Issuer's 2018 Equity Incentive Plan (as amended). F2 · derivative.exercise_date: 50% of the RSUs will vest on the 6-month anniversary of the date of grant and the remaining RSUs will vest on the one-year anniversary of the date of grant. Notwithstanding the vesting, the issuance of the common stock will be deferred until the earlier of (i) three months after the Reported Person's resignation or removal from the Board of Directors or no longer providing service because of death or disability, (ii) a change in control (as defined in the DRSU agreement) or (iii) ten years from the Transaction Date. F2 · derivative.expiration_date: 50% of the RSUs will vest on the 6-month anniversary of the date of grant and the remaining RSUs will vest on the one-year anniversary of the date of grant. Notwithstanding the vesting, the issuance of the common stock will be deferred until the earlier of (i) three months after the Reported Person's resignation or removal from the Board of Directors or no longer providing service because of death or disability, (ii) a change in control (as defined in the DRSU agreement) or (iii) ten years from the Transaction Date. Read SEC document |
| February 20, 2024 Filed Feb 20, 2024 21:11 UTC | IOVANCE BIOTHERAPEUTICS, INC. IOVA · Entity 2090 | PurchaseCommon Stock | 5,000,000 | $9.15 | $45,750,000.00 |
DisclosureSEC source: 0001104659-24-025520 · tm246751-3_4seq1.xml · nonDerivative · entry 1 Rothbaum Wayne P. · CIK 0001423102 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Quogue Capital LLC Disclosed balance after: 28,067,333 F3 · shares: Such shares purchased pursuant to Issuer's underwritten offering, which priced on 02/20/2024. F2 · balance_after: 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. F1 · ownership.nature: 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. Read SEC document |
| September 15, 2023 Filed Sep 15, 2023 22:12 UTC | IOVANCE BIOTHERAPEUTICS, INC. IOVA · Entity 2090 | PurchaseCommon Stock | 5,000,000 | $5.30 | $26,500,000.00 |
DisclosureSEC source: 0001104659-23-101299 · tm2326274-1_4seq1.xml · nonDerivative · entry 1 Rothbaum Wayne P. · CIK 0001423102 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Quogue Capital LLC Disclosed balance after: 23,067,333 F2 · balance_after: 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. F1 · ownership.nature: 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. Read SEC document |
| December 02, 2022 Filed Dec 2, 2022 22:29 UTC | IOVANCE BIOTHERAPEUTICS, INC. IOVA · Entity 2090 | PurchaseCommon Stock | 10,000,000 | $6.50 | $65,000,000.00 |
DisclosureSEC source: 0001104659-22-124196 · tm2231927-1_4seq1.xml · nonDerivative · entry 1 Rothbaum Wayne P. · CIK 0001423102 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Quogue Capital LLC Disclosed balance after: 18,067,333 F2 · balance_after: 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. F1 · ownership.nature: 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. Read SEC document |
| June 01, 2022 Filed Jun 2, 2022 23:59 UTC | IOVANCE BIOTHERAPEUTICS, INC. IOVA · Entity 2090 | PurchaseCommon Stock | 500,000 | $6.43 | $3,215,500.00 |
DisclosureSEC source: 0001104659-22-067757 · tm2217576d1_4.xml · nonDerivative · entry 2 Rothbaum Wayne P. · CIK 0001423102 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Quogue Capital LLC Disclosed balance after: 8,067,333 F2 · balance_after: 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. F1 · ownership.nature: 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. Read SEC document |
| May 31, 2022 Filed Jun 2, 2022 23:59 UTC | IOVANCE BIOTHERAPEUTICS, INC. IOVA · Entity 2090 | PurchaseCommon Stock | 500,000 | $6.77 | $3,384,550.00 |
DisclosureSEC source: 0001104659-22-067757 · tm2217576d1_4.xml · nonDerivative · entry 1 Rothbaum Wayne P. · CIK 0001423102 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Quogue Capital LLC Disclosed balance after: 7,567,333 F2 · balance_after: 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. F1 · ownership.nature: 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. Read SEC document |
| December 06, 2018 Filed Dec 7, 2018 21:32 UTC | IOVANCE BIOTHERAPEUTICS, INC. IOVA · Entity 2090 | PurchaseCommon Stock | 300,000 | $9.86 | $2,958,000.00 |
DisclosureSEC source: 0001144204-18-063613 · tv508656_4.xml · nonDerivative · entry 2 Rothbaum Wayne P. · CIK 0001423102 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Quogue Capital LLC Disclosed balance after: 7,067,333 F2 · price: The price reported in Column 4 is an average price. These shares were purchased by Quogue Capital LLC in multiple transactions at prices ranging from $9.40 to $10.07, inclusive. F3 · balance_after: The reporting person is the managing member of Quogue Capital LLC and so may be deemed to beneficially own such shares of common stock. The numbers reported in column 6 exclude 1,932,667 shares of common stock underlying 1,932,667 shares of Series B Preferred Stock held by Quogue Capital LLC. F3 · ownership.nature: The reporting person is the managing member of Quogue Capital LLC and so may be deemed to beneficially own such shares of common stock. The numbers reported in column 6 exclude 1,932,667 shares of common stock underlying 1,932,667 shares of Series B Preferred Stock held by Quogue Capital LLC. Read SEC document |
| December 04, 2018 Filed Dec 7, 2018 21:32 UTC | IOVANCE BIOTHERAPEUTICS, INC. IOVA · Entity 2090 | PurchaseCommon Stock | 921,053 | $10.31 | $9,496,056.43 |
DisclosureSEC source: 0001144204-18-063613 · tv508656_4.xml · nonDerivative · entry 1 Rothbaum Wayne P. · CIK 0001423102 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Quogue Capital LLC Disclosed balance after: 6,767,333 F1 · price: The price reported in Column 4 is an average price. These shares were purchased by Quogue Capital LLC in multiple transactions at prices ranging from $9.88 to $10.51, inclusive. The reporting person undertakes to provide to Iovance Biotherapeutics, Inc., the staff of the Securities and Exchange Commission, and others pursuant to applicable securities laws, upon request, full information regarding the number of shares sold at each price within the ranges set forth in footnotes (1) and (2) to this Form 4. F3 · balance_after: The reporting person is the managing member of Quogue Capital LLC and so may be deemed to beneficially own such shares of common stock. The numbers reported in column 6 exclude 1,932,667 shares of common stock underlying 1,932,667 shares of Series B Preferred Stock held by Quogue Capital LLC. F3 · ownership.nature: The reporting person is the managing member of Quogue Capital LLC and so may be deemed to beneficially own such shares of common stock. The numbers reported in column 6 exclude 1,932,667 shares of common stock underlying 1,932,667 shares of Series B Preferred Stock held by Quogue Capital LLC. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.