Current Report Filing (8-k)
January 07 2019 - 8:33AM
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):
January 7, 2019
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 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 2.02.
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Results of Operations and Financial Condition.
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Iovance Biotherapeutics, Inc. (the “Company”)
is currently in the process of finalizing its financial results for the fiscal year ended December 31, 2018. Based on information
currently available, the Company estimates that as of December 31, 2018, cash, cash equivalents, and short-term investments were
approximately $469 million.
These estimates are preliminary and actual
results may differ from these estimates due to the completion of the Company’s closing procedures with respect to the fiscal
year ended December 31, 2018, final adjustments and other developments that may arise between now and the time the financial results
for the 2018 fiscal year are finalized. As such, these estimates should not be viewed as a substitute for the full audited financial
statements prepared in accordance with U.S. generally accepted accounting principles. These expected results could change materially
and are not necessarily indicative of the results to be achieved for the 2018 fiscal year or any future period. As a result of
the foregoing considerations and the other limitations described herein, investors are cautioned not to place undue reliance on
this preliminary financial information. The Company does not undertake any obligation to publicly update or revise this estimate,
except as required by law.
The information in this Item 2.02 shall
not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise
subject to the liabilities of that section or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended. The information
contained in this Item 2.02 shall not be incorporated by reference into any registration statement or other document filed by the
Company with the Securities and Exchange Commission, whether made before or after the date of this Current Report on Form 8-K,
regardless of any general incorporation language in such filing (or any reference to this Current Report on Form 8-K generally),
except as shall be expressly set forth by specific reference in such filing.
The Company from time to time makes presentations
at healthcare conferences and to analysts, current stockholders, and others. A copy of the Company’s presentation that it
intends to use at such events is filed as Exhibit 99.1 to this Current Report on Form 8-K and incorporated by reference herein.
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Item 9.01.
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Financial Statements and Exhibits.
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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: January 7, 2019
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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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