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Filing Details

Accession Number:: 0001144204-13-000883
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-01-04 20:52:59
Reporting Period:: 2012-12-12

Filing Date:: 2013-01-04
Accepted Time:: 2013-01-04 20:52:59
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	9306 Kendale Road Potomac MD 20854	Chairperson, Ceo	Yes	Yes	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2012-12-12	6,468,153	$0.00	10,809,992	No	4	P	Indirect	See Footnote
Common Stock	Disposition	2012-12-29	59,405	$0.00	10,750,587	No	4	G	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	See Footnote
No	4	G	Indirect	See Footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrants	Acquisiton	2012-12-12	3,234,078	$0.00	3,234,078	$6.40

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
7,138,540	2012-12-12	2017-12-12	No	4	P	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	148,295	Direct

Footnotes

As NWBO previously reported, pursuant to conversion agreements entered into on October 16, 2012, in preparation for NWBO's December, 2012, public offering and Nasdaq listing, Toucan Partners, LLC agreed to convert $10,688,615 of convertible notes and payables into 3,708,495 restricted shares of common stock and 1,854,249 warrants upon the closing of NWBO's public offering. As NWBO also previously reported, on October 16, 2012, Cognate BioServices, Inc. entered into conversion agreements with the NWBO pursuant to which an aggregate of $7,506,270 unpaid invoiced amounts and payables were converted into 2,759,658 restricted shares of common stock and 1,379,829 warrants.
Consists of (i) 804,145 shares of common stock held by Toucan Capital Fund III, L.P., (ii) 4,371,189 shares of common stock held by Toucan Partners, LLC and (iii) 5,634,658 shares of common stock held by Cognate BioServices, Inc. Ms. Powers has voting and dispositive power over the securities owned by Toucan Capital Fund III, L.P., Toucan Partners LLC and Cognate BioServices, Inc.
Represents gifts to family members, including Lois, Brad, Kelley, Collin, Erin, Carol, Sam, Evelyn and Christine Powers.
Consists of (i) 804,145 shares of common stock held by Toucan Capital Fund III, L.P., (ii) 4,311,784 shares of common stock held by Toucan Partners, LLC and (iii)5,634,658 shares of common stock held by Cognate BioServices, Inc. Ms. Powers has voting and dispositive power over the securities owned by Toucan Capital Fund III, L.P., Toucan Partners LLC and Cognate BioServices, Inc.
Includes (i) 1,096,627 shares of common stock underlying warrants held by Toucan Capital Fund III, L.P., (ii) 1,370,335 shares of common stock underlying currently exercisable warrants held by Toucan Partners, LLC and (iii) 1,437,500 shares of common stock underlying warrants held by Cognate BioServices, Inc. Ms. Powers has voting and dispositive power over the securities owned by Toucan Capital Fund III, L.P., Toucan Partners LLC and Cognate BioServices, Inc.