0001144204-15-040971.txt : 20150702 0001144204-15-040971.hdr.sgml : 20150702 20150702215407 ACCESSION NUMBER: 0001144204-15-040971 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150630 FILED AS OF DATE: 20150702 DATE AS OF CHANGE: 20150702 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cognate Bioservices, Inc. CENTRAL INDEX KEY: 0001626920 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35737 FILM NUMBER: 15971931 BUSINESS ADDRESS: STREET 1: 7513 CONNELLEY DRIVE CITY: HANOVER STATE: MD ZIP: 21076 BUSINESS PHONE: 901-541-9800 MAIL ADDRESS: STREET 1: 7513 CONNELLEY DRIVE CITY: HANOVER STATE: MD ZIP: 21076 4 1 v414855_4.xml OWNERSHIP DOCUMENT X0306 4 2015-06-30 0 0001072379 NORTHWEST BIOTHERAPEUTICS INC NWBO 0001626920 Cognate Bioservices, Inc. 7513 CONNELLEY DRIVE HANOVER MD 21076 0 0 1 0 Common Stock, par value $0.001 2015-06-30 4 S 0 650000 4.00 D 19578482 D Common Stock, par value $0.001 2015-06-30 4 S 0 1118092 4.22 D 18460390 D Cognate entered into a $3 million convertible debt financing with an unrelated third party investor, secured by Cognate assets. The debt was convertible, at the investors' election, into common shares of Northwest Biotherapeutics restricted stock owned by Cognate. The third party investors elected to convert the debt and receive repayment in Common Shares rather than in cash. Therefore, on June 30, 2015, Cognate transferred 650,000 restricted common shares of Northwest Biotherapeutics, Inc.to this third party to settle the debt.. Does not include 10,432,387 shares of common stock underlying currently exercisable warrants. Cognate entered into two convertible loans, each in the amount of $2,500,000, to an unrelated third party investor in June and July, 2014, and provided the proceeds of the financings for Northwest Biotherapeutics programs. The debt was secured by shares of Northwest Biotherapeutics owned by Cognate and was convertible, at the investors' election, into Northwest Biotherapeutics, Inc. common shares owned by Cognate at a fixed conversion price. The third party investors elected to take repayment in Common Shares rather than in cash. Therefore, on June 30, 2015, Cognate transferred 1,118,092 Common Shares to settle the debt notes.. Cognate BioServices, Inc., by its Director, /s/ Linda Powers 2015-07-02