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* Swartzburg Michael (Last) (First) (Middle) C/O IOVANCE BIOTHERAPEUTICS, INC. 999 SKYWAY ROAD, SUITE 150 (Street) SAN CARLOS CA 94070 (City) (State) (Zip)	2. Date of Event Requiring Statement (Month/Day/Year) 06/10/2020	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) VP, Finance	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)

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 Option (Right to Buy)	(1)	03/04/2028	Common Stock	95,000	19.5	D
Stock Option (Right to Buy)	(2)	03/03/2029	Common Stock	35,000	11.26	D
Stock Option (Right to Buy)	(3)	01/19/2030	Common Stock	46,500	23.88	D

Explanation of Responses:

1. Provided the Reporting Person is still employed with the Issuer on the vesting dates, the options are exercisable as follows: (i) options for the purchase of one-third of the granted shares shall vest on the one-year anniversary of March 5, 2018; 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 March 5, 2018.

2. Provided the Reporting Person is still employed with the Issuer on the vesting dates, the options are exercisable as follows: (i) options for the purchase of one-third of the granted shares shall vest on the one-year anniversary of March 4, 2019; 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 March 4, 2019.

3. Provided the Reporting Person is still employed with the Issuer on the vesting dates, the options are exercisable as follows: (i) options for the purchase of one-third of the granted shares shall vest on the one-year anniversary of January 20, 2020; 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 January 20, 2020.

	/s/ Michael C. Swartzburg	06/23/2020
	** 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).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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