Rothbaum Wayne P. 4
4 · IOVANCE BIOTHERAPEUTICS, INC. · Filed Dec 7, 2018
Insider Transaction Report
Form 4
Rothbaum Wayne P.
Director
Transactions
- Purchase
Common Stock
2018-12-06$9.86/sh+300,000$2,958,000→ 7,067,333 total(indirect: By LLC) - Purchase
Common Stock
2018-12-04$10.31/sh+921,053$9,496,056→ 6,767,333 total(indirect: By LLC)
Footnotes (3)
- [F1]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.
- [F2]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]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.