Filing Details
- Accession Number:
- 0001144204-19-003609
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-01-29 21:57:33
- Reporting Period:
- 2018-12-27
- Accepted Time:
- 2019-01-29 21:57:33
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1072379 | Northwest Biotherapeutics Inc | NWBO | Pharmaceutical Preparations (2834) | 943306718 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1289624 | F Linda Powers | C/O Northwest Biotherapeutics, Inc. 4800 Montgomery Lane, Suite 800 Bethesda MD 20814 | President And Ceo | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Common Stock, Par Value $0.001 | Disposition | 2018-12-28 | 804,146 | $0.17 | 0 | No | 4 | S | Indirect | Sale by Toucan Capital Fund III, LP. |
| Restricted Common Stock, Par Value $0.001 | Disposition | 2018-12-27 | 3,558,639 | $0.17 | 29,411,760 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | Sale by Toucan Capital Fund III, LP. |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.001 | Class D-2 Warrants | Disposition | 2018-12-28 | 402,073 | $0.00 | 402,073 | $0.30 |
| Common Stock, Par Value $0.001 | Class D-2 Warrants | Disposition | 2018-12-27 | 1,779,320 | $0.00 | 1,779,320 | $0.30 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2018-05-04 | 2023-05-04 | No | 4 | S | Indirect |
| 0 | 2018-05-04 | 2023-05-04 | No | 4 | S | Direct |
Footnotes
- Toucan Capital Fund III, LP sold the 804,146 restricted shares of common stock that it owned, in preparation for the required dissolution due to the Toucan Fund reaching the end of its contractual term. The reporting person has management control as well as a partnership interest in the Toucan Fund.
- The reporting party sold shares of restricted common stock.
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