SEC Form 3 · accession 0001213900-15-008780
NORTHWEST BIOTHERAPEUTICS INC · NWBO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Nov 5, 2015
Accepted (ET)
Nov 16, 2015 · 6:47 pm EST
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, $0.001 par value per shareF1,F2 | holding | — | — | — | 25,915,937 | I | See footnote | |
| Common stock, $0.001 par value per shareF3 | holding | — | — | — | 18,316,679 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This statement is being filed jointly by Woodford Investment Management LLP ("WIM") and CF Woodford Equity Income Fund (the "Woodford Fund"). Neil Woodford, the Head of Investments for WIM, by virtue of his position as such, may be deemed to beneficially own the reported securities beneficially owned by WIM. Mr. Woodford expressly disclaims beneficial ownership of the reported securities except to the extent of any pecuniary interest therein.
- F2WIM is an investment manager for the investment funds (including but not limited to the Woodford Fund) that own the reported securities.
- F3These are shares owned directly by the Woodford Fund and indirectly by WIM. WIM is the Manager of the Woodford Fund, and WIM may be deemed to be the beneficial owner of the reported securities beneficially owned by the Woodford Fund. The Woodford Fund may also be deemed to be the beneficial owner of such reported securities because the Management Agreement between the Woodford Fund and WIM may be terminated at any time upon 60 days' or less notice.
Remarks
*As Head of Compliance and Authorized Signatory for WIM. **As Head of Compliance and Authorized Signatory for WIM in its capacity as the Manager of the Woodford Fund.