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