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