0001104659-23-122940.txt : 20231201 0001104659-23-122940.hdr.sgml : 20231201 20231201203135 ACCESSION NUMBER: 0001104659-23-122940 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231116 FILED AS OF DATE: 20231201 DATE AS OF CHANGE: 20231201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MALIK NAVID CENTRAL INDEX KEY: 0001629113 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35737 FILM NUMBER: 231461127 MAIL ADDRESS: STREET 1: 1 CHOLMELEY PARK STREET 2: HIGHGATE CITY: LONDON STATE: X0 ZIP: N6 5ET 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 4 1 tm2331758d1_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2023-11-16 0 0001072379 NORTHWEST BIOTHERAPEUTICS INC NWBO 0001629113 MALIK NAVID C/O NORTHWEST BIOTHERAPEUTICS, INC. 48 MONTGOMERY LANE, SUITE 800 BETHESDA MD 20814 1 0 0 0 0 Common Stock 2023-11-16 4 S 0 125000 0.835 A 445000 D Common Stock 2023-11-17 4 S 0 150000 0.823 A 295000 D Common Stock 2023-11-17 4 S 0 295000 0.819 A 0 D Dr. Malik sold a total of 570,000 shares solely to pay a tax obligation, and all proceeds are being used for such taxes. /s/ Navid Malik 2023-12-01