SEC Form 4 · accession 0001144204-18-031815
NORTHWEST BIOTHERAPEUTICS INC · NWBO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Navid Malik
Director
Period of report
May 28, 2018
Accepted (ET)
May 31, 2018 · 6:08 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001072379
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to purchase Common Stock, par value $0.001F1,F2 | $0.23 | May 28, 2018 | A | 9,065,000 | A | May 28, 2018 | May 28, 2028 | Common Stock, par value $0.001 | 9,065,000 | 9,065,000 | D |
Explanation of responses
- F1These 9,065,000 Options were previously reported and were approved by shareholders at the Special Shareholder Meeting on April 27, 2018. Half of the Options are vested at the time of issuance and half will vest monthly over the course of 24 months from the date of Board approval, subject to acceleration in certain circumstances.
- F2The exercise price of the Options is $0.23.