-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UcW02a+/Z+7a2wMJp05fpZvo7t3NqR+lK+vhgX7ijY+JckbbNPE+ib9TABU+2fRG d6hKrH9ubX6VOrF5mFGYfA== 0000892917-04-000028.txt : 20040213 0000892917-04-000028.hdr.sgml : 20040213 20040213151222 ACCESSION NUMBER: 0000892917-04-000028 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20040213 GROUP MEMBERS: C. WILLIAM SCHNEIDER GROUP MEMBERS: NORTHWEST HOSPITAL SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-62381 FILM NUMBER: 04598249 BUSINESS ADDRESS: STREET 1: 21720-23RD DRIVE SE, SUITE 100 CITY: BOTHELL STATE: WA ZIP: 98021 BUSINESS PHONE: 4256083000 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NORTHWEST HOSPITAL CENTRAL INDEX KEY: 0001163841 IRS NUMBER: 910637400 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: 1550 NORTH 115TH ST CITY: SEATTLE STATE: WA ZIP: 98133 SC 13G/A 1 nw13g204.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 3)* Northwest Biotherapeutics, Inc. (Name of Issuer) Common Stock, $.001 par value (Title of Class of Securities) 66737P 10 5 (CUSIP Number) December 31, 2003 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: Rule 13d-1 (b) X Rule 13d-1 (c) Rule 13d-1 (d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 7 pages CUSIP No. 66737P 10 5 Page 2 of 7 pages - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (Entities only) Northwest Hospital 91-0637400 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Washington - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF -0- ------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY 1,891,846 ------------------------------------------------------ OWNED BY EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- ------------------------------------------------------ PERSON WITH 8 SHARED DISPOSITIVE POWER 1,891,846 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,891,846 shares - ------------------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES Not applicable - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.9 percent - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON CO - ------------------------------------------------------------------------------- CUSIP No. 66737P 10 5 Page 3 of 7 pages - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (Entities only) C. William Schneider - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF -0- ------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY 1,891,846 ------------------------------------------------------ OWNED BY EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- ------------------------------------------------------ PERSON WITH 8 SHARED DISPOSITIVE POWER 1,891,846 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,891,846 shares - ------------------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES Not applicable - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.9 percent - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IN - ------------------------------------------------------------------------------- CUSIP No. 66737P 10 5 Page 4 of 7 pages Item 1(a) Name of Issuer: Northwest Biotherapeutics, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: Canyon Park Building 8 22322 20th Avenue S.E., Suite 150 Bothell, Washington 98021 Item 2(a) Name of Person Filing: Northwest Hospital and C. William Schneider C. William Schneider is President and Chief Executive Officer of Northwest Hospital and, in such capacity, has voting and investment power over the shares held by Northwest Hospital. Item 2(b) Address of Principal Business Office or, if None, Residence: 1550 North 115th Street Seattle, Washington 98133 (same for both filers) Item 2(c) Citizenship: Northwest Hospital is a nonprofit corporation organized under the laws of the state of Washington. C. William Schneider is a citizen of the United States. Item 2(d) Title of Class of Securities: Common Stock, $.001 Par Value Item 2(e) CUSIP Number: 66737P 10 5 Item 3 If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: Not applicable. CUSIP No. 66737P 10 5 Page 5 of 7 pages Item 4 Ownership The following information is as of December 31, 2003: (a) Amount Beneficially Owned: 1,891,846 shares by Northwest Hospital. 1,891,846 shares by C. William Schneider. (b) Percent of Class: The shares held by Northwest Hospital represent 9.9 percent of the class. The shares held by C. William Schneider represent 9.9 percent of the class. (c) Number of shares as to which Northwest Hospital has: (i) Sole power to vote or to direct the vote: 0 (ii) Shared power to vote or to direct the vote: 1,891,846 (iii) Sole power to dispose or to direct the disposition of: 0 (iv) Shared power to dispose or to direct the disposition of: 1,891,846 Number of shares as to which C. William Schneider has: (i) Sole power to vote or to direct the vote: 0 (ii) Shared power to vote or to direct the vote: 1,891,846 (iii) Sole power to dispose or to direct the disposition of: 0 (iv) Shared power to dispose or to direct the disposition of: 1,891,846 Item 5 Ownership of Five Percent or Less of a Class: If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of five percent of the class of securities, check the following [ ]. Item 6 Ownership of More than Five Percent on Behalf of Another Person: Not applicable. Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person: Not applicable. CUSIP No. 66737P 10 5 Page 6 of 7 pages Item 8 Identification and Classification of Members of the Group: Not applicable. Item 9 Notice of Dissolution of Group: Not applicable. Item 10 Certifications: By signing below the undersigned certify that, to the best of their knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURES After reasonable inquiry and to the best of the knowledge and belief of the undersigned, the undersigned certify that the information set forth in this statement is true, complete, and correct. February 11, 2004 (Date) NORTHWEST HOSPITAL By /s/ Chrissy Yamada --------------------------------- Chrissy Yamada Chief Financial Officer /s/ C. William Schneider ------------------------------------ C. William Schneider ATTENTION: Intentional misstatements or omissions of fact constitute federal criminal violations (See 18 USC 1001) EX-99 3 nw13g204ex.txt 1 CUSIP No. 66737P 10 5 Page 7 of 7 pages EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k) (1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that the Amendment No. 3 to Schedule 13G to which this Joint Filing Statement is being filed as an exhibit shall be a joint statement filed on behalf of each of the undersigned. Date: February 11, 2004 NORTHWEST HOSPITAL By /s/ Chrissy Yamada ---------------------------------- Chrissy Yamada Chief Financial Officer /s/ C. William Schneider -------------------------------------- C. William Schneider -----END PRIVACY-ENHANCED MESSAGE-----