SEC Form 4 · accession 0001144204-15-026502
NORTHWEST BIOTHERAPEUTICS INC · NWBO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert A Farmer
Director
Period of report
Dec 1, 2009
Accepted (ET)
Apr 30, 2015 · 3:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001072379
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.001F1 | Dec 4, 2013 | P | 132,404 | $5.60 | A | 132,404 | I | Held by Robert A. Farmer Revocable Trust |
| Common Stock, par value $0.001F1,F2 | Aug 1, 2014 | P | 3,013 | $5.60 | A | 135,417 | I | Held by Robert A. Farmer Revocable Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants | $6.40 | Nov 19, 2012 | X | 8,352 | A | Nov 19, 2012 | Nov 19, 2017 | Common Stock | 8,352 | 8,352 | D |
| Warrants | $5.60 | Aug 1, 2014 | X | 1,507 | A | Aug 1, 2014 | Aug 1, 2019 | Common Stock | 9,859 | 9,859 | D |
Explanation of responses
- F1Does not include shares of common stock underlying warrants which are currently exercisable.
- F2Robert A. Farmer holds voting and dispositive power over the shares held by the Robert A. Farmer Revocable Trust.