Filing Details
- Accession Number:
- 0001144204-15-026502
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-04-30 15:53:08
- Reporting Period:
- 2009-12-01
- Filing Date:
- 2015-04-30
- Accepted Time:
- 2015-04-30 15:53:08
- 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 |
|---|---|---|---|---|---|---|---|
| 1341410 | A Robert Farmer | C/O Northwest Biotherapeutics, Inc. 4800 Montgomery Lane, Suite 800 Bethesda MD 20814 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.001 | Acquisiton | 2013-12-04 | 132,404 | $5.60 | 132,404 | No | 4 | P | Indirect | Held by Robert A. Farmer Revocable Trust |
| Common Stock, Par Value $0.001 | Acquisiton | 2014-08-01 | 3,013 | $5.60 | 135,417 | No | 4 | P | Indirect | Held by Robert A. Farmer Revocable Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Held by Robert A. Farmer Revocable Trust |
| No | 4 | P | Indirect | Held by Robert A. Farmer Revocable Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrants | Acquisiton | 2012-11-19 | 8,352 | $6.40 | 8,352 | $6.40 |
| Common Stock | Warrants | Acquisiton | 2014-08-01 | 1,507 | $5.60 | 9,859 | $5.60 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 8,352 | 2012-11-19 | 2017-11-19 | No | 4 | X | Direct |
| 9,859 | 2014-08-01 | 2019-08-01 | No | 4 | X | Direct |
Footnotes
- Does not include shares of common stock underlying warrants which are currently exercisable.
- Robert A. Farmer holds voting and dispositive power over the shares held by the Robert A. Farmer Revocable Trust.
Billionaire Hedge Funds
