# EDGAR Filing Document

**Accession Number:** 0001425205
**File Stem:** 0001104659-23-003844
**Filing Date:** 2023-1
**Character Count:** 13031
**Document Hash:** b56c785fe400ef6b02ead15f52cd8fe7
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-23-003844.hdr.sgml**: 20230113

**ACCESSION NUMBER**: 0001104659-23-003844

**CONFORMED SUBMISSION TYPE**: SC 13D/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230113

**DATE AS OF CHANGE**: 20230113

**GROUP MEMBERS**: WAYNE P. ROTHBAUM

**SUBJECT COMPANY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** IOVANCE BIOTHERAPEUTICS, INC.
- **CENTRAL INDEX KEY:** 0001425205
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **IRS NUMBER:** 753254381
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SC 13D/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 005-85384
- **FILM NUMBER:** 23529140

**BUSINESS ADDRESS:**
- **STREET 1:** 825 INDUSTRIAL ROAD
- **STREET 2:** 4TH FLOOR
- **CITY:** SAN CARLOS
- **STATE:** CA
- **ZIP:** 94070
- **BUSINESS PHONE:** 6502607120

**MAIL ADDRESS:**
- **STREET 1:** 825 INDUSTRIAL ROAD
- **STREET 2:** 4TH FLOOR
- **CITY:** SAN CARLOS
- **STATE:** CA
- **ZIP:** 94070

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Lion Biotechnologies, Inc.
- **DATE OF NAME CHANGE:** 20131015

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Genesis Biopharma, Inc
- **DATE OF NAME CHANGE:** 20100319

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** FREIGHT MANAGEMENT CORP
- **DATE OF NAME CHANGE:** 20080128
**FILED BY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Quogue Capital LLC
- **CENTRAL INDEX KEY:** 0001361475
- **IRS NUMBER:** 134197137
- **STATE OF INCORPORATION:** NY

**FILING VALUES:**
- **FORM TYPE:** SC 13D/A

**BUSINESS ADDRESS:**
- **STREET 1:** 50 WEST 57TH ST.
- **STREET 2:** 15TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019
- **BUSINESS PHONE:** 212.554.4475

**MAIL ADDRESS:**
- **STREET 1:** 50 WEST 57TH ST.
- **STREET 2:** 15TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**SCHEDULE 13D**

**Under the Securities Exchange Act of 1934<br> (Amendment No. 2)\***

**Iovance Biotherapeutics, Inc.**

(Name of Issuer)

**Common Stock, $0.000041666 par value per share**

(Title of Class of Securities)

**462260 10 0**

(CUSIP Number)

**Wayne P. Rothbaum**

**Quogue Capital LLC**

**101 Central Park West**

**Suite 1F**

**New York, New York 10019**

**(212) 554-4475**

(Name, Address and Telephone Number of Person<br> Authorized to Receive Notices and Communications)

**December 2, 2022**

(Date of Event Which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. ◻

**Note**: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.

\* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

---

| | | | |
|:---|:---|:---|:---|
| CUSIP No. 462260 10 0 | CUSIP No. 462260 10 0 | CUSIP No. 462260 10 0 | CUSIP No. 462260 10 0 |
|  | 1. | Names of Reporting Persons<br> Quogue Capital LLC | Names of Reporting Persons<br> Quogue Capital LLC |
|  | 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | Check the Appropriate Box if a Member of a Group (See Instructions) |
|  |  | (a) | ⌧ |
|  |  | (b) | ◻ |
|  | 3. | SEC Use Only | SEC Use Only |
|  | 4. | Source of Funds (See Instructions)<br> WC | Source of Funds (See Instructions)<br> WC |
|  | 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) ◻ | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) ◻ |
|  | 6. | Citizenship or Place of Organization<br> Delaware | Citizenship or Place of Organization<br> Delaware |

---

---

| | | |
|:---|:---|:---|
| <br> Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person With | 7. | Sole Voting Power<br> 0 |
| <br> Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person With | 8. | Shared Voting Power<br> 18,067,333 |
| <br> Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person With | 9. | Sole Dispositive Power<br> 0 |
| <br> Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person With | 10. | Shared Dispositive Power<br> 18,067,333 |
| <br> Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person With |  |  |
| <br> Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person With |  |  |
| <br> Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person With |  |  |

---

11. Aggregate Amount Beneficially Owned by Each Reporting Person<br>
20,000,000

12. Check
if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ◻

13. Percent of Class Represented by Amount in Row (11)<br>
12.52%

14. Type of Reporting Person (See Instructions)<br>
OO (Other)

---

| | | | |
|:---|:---|:---|:---|
| CUSIP No. 462260 10 0 | CUSIP No. 462260 10 0 | CUSIP No. 462260 10 0 | CUSIP No. 462260 10 0 |
|  | 1. | Names of Reporting Persons<br> Wayne P. Rothbaum | Names of Reporting Persons<br> Wayne P. Rothbaum |
|  | 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | Check the Appropriate Box if a Member of a Group (See Instructions) |
|  |  | (a) | ⌧ |
|  |  | (b) | ◻ |
|  | 3. | SEC Use Only | SEC Use Only |
|  | 4. | Source of Funds (See Instructions)<br> PF | Source of Funds (See Instructions)<br> PF |
|  | 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) ◻ | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) ◻ |
|  | 6. | Citizenship or Place of Organization<br> United States | Citizenship or Place of Organization<br> United States |

---

---

| | | |
|:---|:---|:---|
| <br> Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person With | 7. | Sole Voting Power<br> 0 |
| <br> Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person With | 8. | Shared Voting Power<br> 18,067.333 |
| <br> Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person With | 9. | Sole Dispositive Power<br> 0 |
| <br> Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person With | 10. | Shared Dispositive Power<br> 18,067.333 |
| <br> Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person With |  |  |
| <br> Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person With |  |  |
| <br> Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person With |  |  |

---

11. Aggregate Amount Beneficially Owned by Each Reporting Person<br>
20,000,000

12. Check
if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ◻

13. Percent of Class Represented by Amount in Row (11)<br>
12.52 14. Type of Reporting Person (See Instructions)<br>
PN

**<u>Explanatory Note</u>**

This Amendment No. 2 (the "<u>Amendment</u>") to Schedule 13D is being filed with the Securities & Exchange Commission (the "<u>SEC</u>") jointly on behalf of the following persons (the "<u>Filing Persons</u>"): Quogue Capital LLC, a Delaware limited liability company ("<u>Quogue</u>") and Wayne P. Rothbaum ("<u>Mr. Rothbaum</u>"), and relates to the common stock, $0.000041666 par value per share (the "<u>Common Stock</u>"), of Iovance Biotherapeutics, Inc., a Delaware corporation (previously, Lion Biotechnologies, Inc.). Mr. Rothbaum is the sole managing member of Quogue, and in his capacity as such, may be deemed to exercise shared voting and investment power over the shares held by Quogue. The Filing Persons specifically disclaim beneficial ownership in the securities reported herein except to the extent of any pecuniary interest therein. This Amendment amends and supplements the initial statement on Schedule 13D filed by the Filing Persons with the SEC on June 13, 2016 and subsequently amended on December 7, 2018 (collectively, the "<u>Original Schedule 13D</u>"). Except as set forth herein, this Amendment does not modify any of the information previously reported by the Filing Persons in the Original Schedule 13D. Unless otherwise indicated, all capitalized terms used herein have the meanings ascribed to them in the Original Schedule 13D.

---

| | |
|:---|:---|
| **Item 3.** | **Source and Amount of Funds or Other Consideration** |
|  | <br> **Item 3 is hereby amended to add the following:**<br>*Item 3 of the Original Schedule 13D*<br>On December 2, 2022, Quogue purchased 10,000,000 shares of Common Stock in an open market transaction, for a purchase price of $65,000,000.<br>As a result of the transactions above, Quogue is the direct beneficial owner of 18,067,333 shares of Common Stock. Quogue is also the owner of 1,932,667 shares of Series B Preferred Stock which is excluded from the above Common Stock. Mr. Rothbaum, in his capacity as the sole managing member of Quogue, may be deemed the indirect beneficial owner of the aforementioned securities held by Quogue.<br>The working capital of the Filing Persons was the source of the funds for the purchase of the securities described above. No part of the purchase price of the securities described above was represented by funds or other consideration borrowed or otherwise obtained for the purpose of acquiring, holding, trading or voting the securities described above. |
| **Item 5.** | **Interest in Securities of the Issuer** |
|  | <br> **Item 5 is hereby amended and restated as follows:**<br>(a) As more fully described in Item 3 above, each of the Filing Persons is the beneficial owner of 18,067,333 shares of the Issuer's Common Stock and 1,932,667 shares of Series B Preferred Stock, representing 12.52% of the Issuer's shares of Common Stock outstanding. The percentage calculations are based upon 157,840,581 shares of Common Stock outstanding as of September 30, 2022 based on information provided by the Issuer. |

---

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(b) By virtue of his status as the sole managing member of Quogue, Mr. Rothbaum may be deemed to share voting and dispositive power with respect to the 18,067,333 shares of the Issuer's Common Stock beneficially owned by Quogue. Mr. Rothbaum disclaims beneficial ownership of the securities and this report shall not be deemed an admission that Mr. Rothbaum is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(c) During the past sixty days prior to the date hereof, the following transactions occurred:

Other than as described in Items 3, during the past sixty days prior to the date hereof, the Filing Persons have not engaged in any transaction in the Issuer's Common Stock.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(d) No person, other than Mr. Rothbaum, is known to have the right to receive or the power to direct the receipt of dividends from, or any proceeds from the sale of, the shares of Common Stock beneficially owned by Quogue.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(e) Not applicable.

**Signature**

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

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| | | |
|:---|:---|:---|
| Dated: January 13, 2023 | Quogue Capital LLC | Quogue Capital LLC |
|  | By: | /s/ Wayne P. Rothbaum |
|  | Name: | Wayne P. Rothbaum |
|  | Title: | Managing Member |
| Dated: January 13, 2023 |  |  |
|  | /s/ Wayne P. Rothbaum | /s/ Wayne P. Rothbaum |
|  | Name: Wayne P. Rothbaum | Name: Wayne P. Rothbaum |

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**ATTENTION**

**Intentional misstatements or omissions of fact constitute Federal Criminal Violations (See 18 U.S.C. 1001).**