Raj K. Puri Form 3 IOVANCE BIOTHERAPEUTICS / Raj K. Puri ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Puri Raj K.

(Last) (First) (Middle)

C/O IOVANCE BIOTHERAPEUTICS, INC.

825 INDUSTRIAL ROAD, 4TH FLOOR

(Street)

SAN CARLOS CA 94070

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
11/22/2024

3. Issuer Name and Ticker or Trading Symbol
IOVANCE BIOTHERAPEUTICS, INC. [ IOVA ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

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

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	150,837(1)	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Options (Right to Buy)	(2)	03/14/2032	Common Stock	325,000	12.38	D
Stock Options (Right to Buy)	(2)	03/02/2033	Common Stock	35,902	7.12	D
Stock Options (Right to Buy)	(2)	03/02/2033	Common Stock	57,858	7.12	D
Restricted Stock Units	(3)	(3)	Common Stock	120,423	(4)	D

Explanation of Responses:

1. Includes 3,472 shares of the Issuer's common stock purchased under the Issuer's 2020 Employee Stock Purchase Plan.

2. Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of one-third of such shares shall vest on the one-year anniversary of the date of grant; and (ii) the remaining options shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of the date of grant.

3. The remaining restricted stock units ("RSUs") will vest in equal quarterly installments.

4. Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Remarks:

1. On November 22, 2024, Raj K. Puri was promoted to Chief Regulatory Officer from his previous position as Executive Vice President, Regulatory Strategy and Translational Medicine. Dr. Puri joined Iovance Biotherapeutics, Inc. (the "Issuer") in March 2022.

	/s/ Raj K. Puri	12/02/2024
	** 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 5 (b)(v).
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