SEC Form 4 · accession 0001144204-15-026505
NORTHWEST BIOTHERAPEUTICS INC · NWBO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jerry J Jasinowski
Director
Period of report
Apr 16, 2012
Accepted (ET)
Apr 30, 2015 · 3:55 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 | Oct 18, 2012 | P | 35,715 | $5.60 | A | 35,715 | D | |
| Common Stock, par value $0.001F1 | Oct 10, 2012 | P | 43,602 | $4.80 | A | 79,317 | D |
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 | Mar 27, 2012 | X | 31,250 | A | Mar 27, 2012 | Mar 27, 2017 | Common Stock | 31,250 | 31,250 | D |
| Warrants | $5.60 | Aug 8, 2012 | X | 17,857 | A | Aug 8, 2012 | Aug 8, 2017 | Common Stock | 17,858 | 49,107 | D |
| Warrants | $6.40 | Oct 10, 2012 | X | 9,810 | A | Oct 10, 2012 | Oct 10, 2017 | Common Stock | 9,810 | 58,917 | D |
Explanation of responses
- F1Does not include warrants to purchase shares of common stock which are currently exercisable.