0001213900-16-017269.txt : 20161004 0001213900-16-017269.hdr.sgml : 20161004 20161004171331 ACCESSION NUMBER: 0001213900-16-017269 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161004 DATE AS OF CHANGE: 20161004 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35737 FILM NUMBER: 161920026 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35737 FILM NUMBER: 161920027 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 4 1 f41016woodford_northwestb.xml OWNERSHIP DOCUMENT X0306 4 2016-09-30 1 0001072379 NORTHWEST BIOTHERAPEUTICS INC NWBO 0001634557 Woodford Investment Management LLP 9400 GARSINGTON ROAD OXFORD X0 OX4 2HN UNITED KINGDOM 0 0 1 0 0001637243 CF Woodford Equity Income Fund 40 DUKES PLACE LONDON X0 EC3A 7NH UNITED KINGDOM 0 0 1 0 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 certain securities beneficially owned by WIM. Mr. Woodford expressly disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. WIM is an investment manager for the Woodford Fund and other investment funds. /s/ Simon Osborne, As Head of Compliance and Authorized Signatory for WIM. 2016-10-04 /s/ Simon Osborne, As Head of Compliance and Authorized Signatory for WIM in its capacity as the Manager of the Woodford Fund. 2016-10-04