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