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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Northwest Biotherapeutics Inc (QB) | USOTC:NWBO | OTCMarkets | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
-0.015 | -3.23% | 0.45 | 0.45 | 0.452 | 0.475 | 0.45 | 0.469 | 1,062,436 | 16:57:45 |
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person
*
Cognate Bioservices, Inc. |
2. Issuer Name
and
Ticker or Trading Symbol
NORTHWEST BIOTHERAPEUTICS INC [ NWBO ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __ X __ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
7513 CONNELLEY DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
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HANOVER, MD 21076 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person _ X _ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
||||||||||
1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common stock, par value $0.001 per share ("Common Stock") (1) (2) (3) | 3/1/2014 | P | 389611 | A | (3) | 17211228 | D | |||
Common Stock (4) | 3/7/2014 | S | 133333 | D | $3.64 | 17077895 | D | |||
Common Stock (5) | 3/7/2014 | S | 120370 | D | $3.64 | 16957525 | D | |||
Common Stock (6) | 4/1/2014 | P | 289531 | A | (6) | 17247056 | D | |||
Common Stock (7) | 5/1/2014 | P | 341971 | A | (7) | 17589027 | D | |||
Common Stock (8) | 6/1/2014 | P | 385320 | A | (8) | 17974347 | D | |||
Common Stock (9) | 6/30/2014 | P | 562500 | A | (8) | 18536847 | D | |||
Common Stock (10) | 7/1/2014 | P | 796879 | A | (10) | 19333725 | D | |||
Common Stock (12) | 8/1/2014 | P | 550219 | A | (12) | 19883944 | D | |||
Common Stock (13) | 8/27/2014 | S | 145068 | D | $5.17 | 19738876 | D | |||
Common Stock (14) | 9/1/2014 | P | 639108 | A | (14) | 20377984 | D | |||
Common Stock (15) | 9/15/2014 | S | 149502 | D | $5.02 | 20228482 | D |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrants (6) | $4.00 | 4/1/2014 | P | 144766 | 4/30/2014 | 4/30/2019 | Common Stock | 144766 | (6) | 144766 | D | ||||
Warrants (7) | $4.00 | 5/1/2014 | P | 170985 | 5/30/2014 | 5/30/2019 | Common Stock | 170985 | (7) | 170985 | D | ||||
Warrants (8) | $4.00 | 6/1/2014 | P | 192600 | 6/1/2014 | 6/1/2019 | Common Stock | 192600 | (8) | 192600 | D | ||||
Warrants (9) | $4.00 | 6/30/2014 | P | 281250 | 6/30/2014 | 6/30/2019 | Common Stock | 281250 | (9) | 281250 | D | ||||
Warrants (10) | $4.00 | 7/1/2014 | P | 398439 | 7/1/2014 | 7/1/2019 | Common Stock | 398439 | (10) | 398439 | D | ||||
Warrants (11) | $4.00 | 7/17/2014 | J | 3220235 | 7/17/2014 | 7/17/2019 | Common Stock | 3220235 | (11) | 3220235 | D | ||||
Warrants (12) | $4.00 | 8/1/2014 | P | 275110 | 8/1/2014 | 8/1/2019 | Common Stock | 275110 | (12) | 275110 | D | ||||
Warrants (14) | $4.00 | 9/1/2014 | P | 319554 | 9/1/2014 | 9/1/2019 | Common Stock | 319554 | (14) | 319554 | D |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
Cognate Bioservices, Inc.
7513 CONNELLEY DRIVE HANOVER, MD 21076 |
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X |
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Toucan Capital Fund III, L.P.
4800 MONTGOMERY LANE, SUITE 800 BETHESDA, MD 20814 |
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X |
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Toucan General II, LLC
4800 MONTGOMERY LANE, SUITE 800 BETHESDA, MD 20814 |
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X |
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Toucan Partners, LLC
4800 MONTGOMERY LANE, SUITE 800 BETHESDA, MD 20814 |
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X |
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Powers Linda F
4800 MONTGOMERY LANE, SUITE 800 BETHESDA, MD 20814 |
X | X | Chairperson, CEO |
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Hemphill Robert F Jr.
4800 MONTGOMERY LANE, SUITE 800 BETHESDA, MD 20814 |
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X |
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Signatures
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Cognate Bioservices, Inc., by its director, /s/ Linda Powers | 12/22/2014 | |
** Signature of Reporting Person |
Date
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Toucan Capital Fund III, L.P., by its managing director, /s/ Linda Powers | 12/22/2014 | |
** Signature of Reporting Person |
Date
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Toucan General II, LLC, by its managing director, /s/ Linda Powers | 12/22/2014 | |
** Signature of Reporting Person |
Date
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Toucan Partners, LLC, by its managing member, /s/ Linda Powers | 12/22/2014 | |
** Signature of Reporting Person |
Date
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/s/ Linda Powers | 12/22/2014 | |
** Signature of Reporting Person |
Date
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/s/ Robert Hemphill, Jr. | 12/22/2014 | |
** Signature of Reporting Person |
Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1 Year Northwest Biotherapeutics (QB) Chart |
1 Month Northwest Biotherapeutics (QB) Chart |
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