Iain D. Dukes

CIK 1681955 · View on SEC EDGAR ↗

Insider

First SEC filing: March 25, 2021 · Latest: March 25, 2021

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Insider at

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 26 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

26 other filings hidden
Date Ticker Code Shares Price Value Owned after Δ own A/D vs now
Feb. 20, 2024 IOVA P 32,000 $9.15 $292,800 54,000 Direct +145.45% Acquired -1.8% (price as of 2026-08-21)
Nov. 23, 2022 IOVA P 10,000 $6.10 $61,000 22,000 Direct +83.33% Acquired 47.3% (price as of 2026-08-21)
Dec. 18, 2018 IOVA P 12,000 $8.65 $103,800 12,000 Direct — Acquired 3.9% (price as of 2026-08-21)

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date Ticker Security Underlying Exercise price Expiration Shares A/D
July 9, 2026 TRAW Stock Option (right to buy) Common Stock (274,000) $0.68 July 9, 2036 274,000 Acquired
June 16, 2026 IOVA Deferred Restricted Stock Unit Common Stock (180,632) — — 180,632 Acquired
June 13, 2025 IOVA Deferred Restricted Stock Unit Common Stock (135,092) — — 135,092 Acquired
June 11, 2024 IOVA Deferred Restricted Stock Unit Common Stock (98,607) — — 98,607 Acquired
June 7, 2024 IMA Stock Option (Right to Buy) Common Stock (17,520) $1.75 June 6, 2034 17,520 Acquired
April 1, 2024 TRAW Series C Preferred Stock Common Stock (48,011,144) — — 4,801 Acquired
April 1, 2024 TRAW Series C Preferred Stock Common Stock (1,946,223) — — 195 Acquired
April 1, 2024 TRAW Stock Option (right to purchase) Common Stock (3,802,890) $0.07 Oct. 31, 2033 3,802,890 Acquired
March 1, 2024 IOVA Deferred Restricted Stock Unit Common Stock (100,000) — — 100,000 Acquired
June 9, 2023 IMA Stock Option (Right to Buy) Common Stock (17,520) $6.51 June 9, 2033 17,520 Acquired
June 6, 2023 IOVA Deferred Restricted Stock Unit Common Stock (103,911) — — 103,911 Acquired
June 10, 2022 IOVA Deferred Restricted Stock Unit Common Stock (102,409) — — 102,409 Acquired
June 9, 2022 IMA Stock Option (Right to Buy) Common Stock (13,419) $4.85 June 9, 2032 13,419 Acquired
Dec. 21, 2021 IMA Stock Option (Right to Buy) Common Stock (23,419) $14.92 Dec. 21, 2031 23,419 Acquired
June 29, 2021 IOVA Stock Option (right to buy) Common Stock (70,000) $26.33 June 29, 2031 70,000 Acquired
June 8, 2020 IOVA Stock Option (right to buy) Common Stock (70,000) $32.17 June 7, 2030 70,000 Acquired
June 10, 2019 IOVA Stock Option (right to buy) Common Stock (70,000) $19.93 June 9, 2029 70,000 Acquired
July 17, 2018 IOVA Stock Option (right to buy) Common Stock (70,000) $14.45 July 16, 2028 70,000 Acquired
Sept. 8, 2017 IOVA Stock Option (right to buy) Common Stock (150,000) $7.30 Sept. 7, 2027 150,000 Acquired
June 1, 2017 IOVA Stock Option (right to buy) Common Stock (70,000) $5.45 May 31, 2027 70,000 Acquired
Aug. 16, 2016 IOVA Stock Option (right to buy) [F1] Common Stock $9.10 Aug. 15, 2026 70,000 Acquired
Aug. 16, 2016 IOVA Stock Option (right to buy) Common Stock (35,000) $9.10 Aug. 15, 2026 35,000 Acquired

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 5 holdings

Securities held when first becoming an insider, per SEC Form 3.

Date Ticker Security Shares Ownership
March 25, 2021 IMA Stock Option (Right to Buy)→ Common Stock (19,061) 19,061 Direct
March 25, 2021 IMA Stock Option (Right to Buy)→ Common Stock (12,707) 12,707 Direct
March 25, 2021 IMA Stock Option (Right to Buy)→ Common Stock (75,639) 75,639 Direct
March 25, 2021 IMA Stock Option (Right to Buy)→ Common Stock (76,595) 76,595 Direct
March 25, 2021 IMA Stock Option (Right to Buy)→ Common Stock (52,418) 52,418 Direct