0001104659-20-080813.txt : 20200702
0001104659-20-080813.hdr.sgml : 20200702
20200702215549
ACCESSION NUMBER: 0001104659-20-080813
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200702
FILED AS OF DATE: 20200702
DATE AS OF CHANGE: 20200702
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Powers Linda F
CENTRAL INDEX KEY: 0001289624
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35737
FILM NUMBER: 201011970
MAIL ADDRESS:
STREET 1: 7600 WISCONSIN AVENUE
STREET 2: SUITE 700
CITY: BETHESDA
STATE: MD
ZIP: 20814
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
tm2022243d13_4.xml
OWNERSHIP DOCUMENT
X0306
4
2020-07-02
0
0001072379
NORTHWEST BIOTHERAPEUTICS INC
NWBO
0001289624
Powers Linda F
C/O NORTHWEST BIOTHERAPEUTICS, INC.
4800 MONTGOMERY LANE, SUITE 800
BETHESDA
MD
20814
1
1
1
0
See Remarks
Options to purchase Common Stock, par value $0.001
0.25
2020-07-02
4
A
0
32558724
0
A
2020-12-01
2030-12-01
Common Stock, par value $0.001
32558724
32558724
D
These options were awarded in part for service during the last 2 years. However, the documents to implement and issue (grant) them have not been executed until now. The $0.25 exercise price was determined with reference to the pricing for unrelated investors at the time of approval, which was the trailing 10-day average closing market price of the Company's stock, which was about $0.22. These options are subject to certain vesting requirements. They are also suspended and will not become exercisable until December 1, 2020.
President and Chief Executive Officer
/s/ Linda F. Powers
2020-07-02