Current Report Filing (8-k)
November 13 2017 - 5:16AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
Current Report
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (date of earliest event reported):
November 6, 2017
IOVANCE BIOTHERAPEUTICS, INC.
(Exact
Name of Registrant as Specified in Charter)
Delaware
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(State of Incorporation)
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001-36860
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75-3254381
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Commission File Number
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(I.R.S. Employer Identification No.)
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999 Skyway Road, Suite 150
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San Carlos, California
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94070
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(Address of Principal Executive Offices)
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(Zip Code)
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(650) 260-7120
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(Registrant’s Telephone Number, Including Area Code)
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Check the appropriate box below if the Form 8-K filing is intended
to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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¨
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425).
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¨
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12).
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)).
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¨
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Pre-commencement communications
pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)).
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Indicate by check mark whether the registrant is an emerging
growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities
Exchange Act of 1934 (§240.12b-2 of this chapter). Emerging growth company
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If an emerging growth company, indicate by check mark if the
registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards
provided pursuant to Section 13(a) of the Exchange Act.
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Item 5.02
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements
of Certain Officers.
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On November 6, 2017, Franco Valle, the Controller
and Principal Accounting Officer of Iovance Biotherapeutics, Inc. (the “
Company
”), provided the Company with
written notice that he has resigned from the Company. Mr. Valle will continue to serve as the Controller of the Company through
November 27, 2017.
On November 8, 2017, the Company’s
Board of Directors appointed Timothy E. Morris, the Company’s current Chief Financial Officer, as the Company’s new
Principal Accounting Officer. Mr. Morris’ compensation arrangements, including his $450,000 annual base salary, will not
change as a result of this appointment. Mr. Morris was appointed as the Company’s Chief Financial Officer effective August
14, 2017. Before joining the Company in August 2017, Mr. Morris, 56, served as the Chief Financial Officer and Head of Business
Development for AcelRx Pharmaceuticals, Inc., a publicly traded biopharmaceutical company, and as the Chief Financial Officer and
Global Head of Corporate Development for VIVUS, Inc., a publicly traded biopharmaceutical company. Prior thereto, among other positions,
he served as Chief Financial Officer and Senior Vice President of Finance, Manufacturing and Administration at Questcor Pharmaceuticals,
Inc. Mr. Morris is a Certified Public Accountant and received a bachelor’s degree in business with emphasis in accounting
from California State University, Chico.
A copy of the poster to be presented on
November 10, 2017 by the Company at the Society for Immunotherapy of Cancer (SITC) 32nd Annual Meeting describing early clinical
results from cohort 2 of its ongoing Phase 2 clinical trial of its lead product candidate, cryopreserved autologous TIL product
(LN-144), for the treatment of metastatic melanoma is attached as Exhibit 99.1 and is incorporated by reference herein.
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Item 9.01
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Financial Statements and Exhibits
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(d) Exhibits.
SIGNATURES
Pursuant to the requirements of the Securities
Exchange Act of 1934, the Registrant has duly caused this Report to be signed on its behalf by the undersigned hereunto duly authorized.
Date: November 10, 2017
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IOVANCE BIOTHERAPEUTICS, INC.
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By:
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/s/ MARIA FARDIS
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Maria Fardis, Chief Executive Officer
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