0001104659-20-080806.txt : 20200702
0001104659-20-080806.hdr.sgml : 20200702
20200702215323
ACCESSION NUMBER: 0001104659-20-080806
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200702
FILED AS OF DATE: 20200702
DATE AS OF CHANGE: 20200702
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Powers Linda F
CENTRAL INDEX KEY: 0001289624
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35737
FILM NUMBER: 201011961
MAIL ADDRESS:
STREET 1: 7600 WISCONSIN AVENUE
STREET 2: SUITE 700
CITY: BETHESDA
STATE: MD
ZIP: 20814
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NORTHWEST BIOTHERAPEUTICS INC
CENTRAL INDEX KEY: 0001072379
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 943306718
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 4800 MONTGOMERY LANE
STREET 2: SUITE 800
CITY: BETHESDA
STATE: MD
ZIP: 20814
BUSINESS PHONE: (240) 497-9024
MAIL ADDRESS:
STREET 1: 4800 MONTGOMERY LANE
STREET 2: SUITE 800
CITY: BETHESDA
STATE: MD
ZIP: 20814
4
1
tm2023608d1_4.xml
OWNERSHIP DOCUMENT
X0306
4
2020-07-02
0
0001072379
NORTHWEST BIOTHERAPEUTICS INC
NWBO
0001289624
Powers Linda F
C/O NORTHWEST BIOTHERAPEUTICS, INC.
4800 MONTGOMERY LANE, SUITE 800
BETHESDA
MD
20814
1
1
1
0
President and CEO
Warrants to purchase Common Stock
0.21
2020-07-02
4
A
0
15249474
0
A
2020-11-01
2025-11-01
Common Stock, par value $0.001 per share
15249474
15249474
D
These warrants were in partial consideration of Ms. Powers' loans of $5.4 million to the Company and forbearance on the repayment of those loans. These warrants were approved and publicly reported in 2018. However, the documents to implement and issue (grant) these warrants were not executed until now. The exercise price was determined with reference to the price per share paid by unrelated investors.
/s/ Linda F. Powers
2020-07-02