13G Filing: Woodford Investment Management and Northwest Biotherapeutics Inc (NWBO)

 

SCHEDULE 13G

CUSIP NO. 66737P600

 

This Amendment No. 1 amends and restates in its entirety the
Schedule 13G previously filed by Woodford Investment Management Ltd and Neil Woodford (this “Schedule 13G”).

 

Item 1(a).	Name of Issuer:
	Northwest Biotherapeutics, Inc. (the “Issuer”)
Item 1(b).	Address of Issuer’s Principal Executive Offices:
	4800 Montgomery Lane, Suite 800
	Bethesda, MD 20814
Items 2(a),
(b) and (c).	Name of Persons Filing, Address of Principal Business Office and  Citizenship:
	This Schedule 13G is being filed jointly by Woodford Investment Management Ltd (the “Manager”) and Neil Woodford, the Head of Investment for the Manager. The joint filing agreement of the Manager and Mr. Woodford is attached as Exhibit 1 to this Schedule 13G. The filers of this statement are collectively referred to herein as the “Group.”
	The principal business office of the Manager and Mr. Woodford is 9400 Garsington Road, Oxford OX4 2HN, United Kingdom. For the place of organization of the Manager and the  citizenship of Mr. Woodford, see Item 4 of their respective  cover pages.
Item 2(d).	Title of Class of Securities:
	Common Stock, par value $0.001 per share (the “Common Stock”)
Item 2(e).	CUSIP Number:
	66737P600

Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

(a)

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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

(b)

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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

(c)

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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. ☐ 78c).

(d)

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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).

(e)

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An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

(f)

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An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);