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