0001213900-15-008780.txt : 20151116
0001213900-15-008780.hdr.sgml : 20151116
20151116184755
ACCESSION NUMBER: 0001213900-15-008780
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151105
FILED AS OF DATE: 20151116
DATE AS OF CHANGE: 20151116
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: CF Woodford Equity Income Fund
CENTRAL INDEX KEY: 0001637243
STATE OF INCORPORATION: X0
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35737
FILM NUMBER: 151236698
BUSINESS ADDRESS:
STREET 1: 40 DUKES PLACE
CITY: LONDON
STATE: X0
ZIP: EC3A 7NH
BUSINESS PHONE: 0044 845922 0044
MAIL ADDRESS:
STREET 1: 40 DUKES PLACE
CITY: LONDON
STATE: X0
ZIP: EC3A 7NH
FORMER NAME:
FORMER CONFORMED NAME: CF Woodford Investment Fund
DATE OF NAME CHANGE: 20150319
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Woodford Investment Management LLP
CENTRAL INDEX KEY: 0001634557
STATE OF INCORPORATION: X0
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35737
FILM NUMBER: 151236699
BUSINESS ADDRESS:
STREET 1: 9400 GARSINGTON ROAD
CITY: OXFORD
STATE: X0
ZIP: OX4 2HN
BUSINESS PHONE: 00 44 1865809023
MAIL ADDRESS:
STREET 1: 9400 GARSINGTON ROAD
CITY: OXFORD
STATE: X0
ZIP: OX4 2HN
3
1
f3110515woodford_northwest.xml
OWNERSHIP DOCUMENT
X0206
3
2015-11-05
0
0001072379
NORTHWEST BIOTHERAPEUTICS INC
NWBO
0001634557
Woodford Investment Management LLP
9400 GARSINGTON ROAD
OXFORD OX4 2NH
X0
00000
UNITED KINGDOM
0
0
1
0
0001637243
CF Woodford Equity Income Fund
40 DUKES PLACE,
LONDON, EC3A 7NH
X0
00000
UNITED KINGDOM
0
0
1
0
Common stock, $0.001 par value per share
25915937
I
See footnote
Common stock, $0.001 par value per share
18316679
D
This statement is being filed jointly by Woodford Investment Management LLP ("WIM") and CF Woodford Equity Income Fund (the "Woodford Fund"). Neil Woodford, the Head of Investments for WIM, by virtue of his position as such, may be deemed to beneficially own the reported securities beneficially owned by WIM. Mr. Woodford expressly disclaims beneficial ownership of the reported securities except to the extent of any pecuniary interest therein.
WIM is an investment manager for the investment funds (including but not limited to the Woodford Fund) that own the reported securities.
These are shares owned directly by the Woodford Fund and indirectly by WIM. WIM is the Manager of the Woodford Fund, and WIM may be deemed to be the beneficial owner of the reported securities beneficially owned by the Woodford Fund. The Woodford Fund may also be deemed to be the beneficial owner of such reported securities because the Management Agreement between the Woodford Fund and WIM may be terminated at any time upon 60 days' or less notice.
*As Head of Compliance and Authorized Signatory for WIM.
**As Head of Compliance and Authorized Signatory for WIM in its capacity as the Manager of the Woodford Fund.
/s/ Simon Osborne*
2015-11-16
/s/ Simon Osborne**
2015-11-16