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OTC · USD

NWBO

NORTHWEST BIOTHERAPEUTICS INC

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Tapewire entity
5982
SEC CIK
0001072379
Parsed reports
36

Last 12 months

Inside the activity.

0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
March 12, 2018 Filed Mar 15, 2018 01:04 UTC
Powers Linda FDirector · President and CEO
OtherClass D-1 Warrants · Derivative 29,411,760 Not disclosed Strike: $0.22 Not disclosed
Disclosure

SEC source: 0001144204-18-014763 · tv488530_4.xml · derivative · entry 5

Powers Linda F · CIK 0001289624 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,411,760

Underlying: Common Stock · 29,411,760 shares

Expires not disclosed

F2 · kind: The reported transactions are exempt from Section 16(b) of the Exchange Act because the securities were received by the reporting person as payment of $5 million of debt previously contracted and owed by a third party to the reporting person (which was part of a larger debt previously contracted by the third party to the reporting person which was unpaid) as the third party was unable to make any repayment in cash.

F4 · price: A $5 million portion of a larger pre-existing debt owed by a third party to the reporting person was paid by assignment of this Series A Preferred Stock and Class D-1 Warrants to the reporting person as the third party was unable to make any repayment in cash.

F3 · derivative.exercise_date: Convertible and exercisable when the Company has sufficient shares of common stock authorized and available. The Class D-1 Warrants are not currently exercisable and will expire two years after they become exercisable.

F3 · derivative.expiration_date: Convertible and exercisable when the Company has sufficient shares of common stock authorized and available. The Class D-1 Warrants are not currently exercisable and will expire two years after they become exercisable.

Read SEC document
March 12, 2018 Filed Mar 15, 2018 01:04 UTC
Powers Linda FDirector · President and CEO
OtherSeries A Preferred Stock · Derivative 2,941,176 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001144204-18-014763 · tv488530_4.xml · derivative · entry 4

Powers Linda F · CIK 0001289624 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,941,176

Underlying: Common Stock · 29,411,760 shares

Expires not disclosed

F2 · kind: The reported transactions are exempt from Section 16(b) of the Exchange Act because the securities were received by the reporting person as payment of $5 million of debt previously contracted and owed by a third party to the reporting person (which was part of a larger debt previously contracted by the third party to the reporting person which was unpaid) as the third party was unable to make any repayment in cash.

F4 · price: A $5 million portion of a larger pre-existing debt owed by a third party to the reporting person was paid by assignment of this Series A Preferred Stock and Class D-1 Warrants to the reporting person as the third party was unable to make any repayment in cash.

F3 · derivative.exercise_date: Convertible and exercisable when the Company has sufficient shares of common stock authorized and available. The Class D-1 Warrants are not currently exercisable and will expire two years after they become exercisable.

F3 · derivative.expiration_date: Convertible and exercisable when the Company has sufficient shares of common stock authorized and available. The Class D-1 Warrants are not currently exercisable and will expire two years after they become exercisable.

Read SEC document
June 13, 2017 Filed Jun 16, 2017 01:25 UTC
BOYNTON ALTON LDirector · Chief Scientific Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 3,402,935 $0.00 Strike: $0.25 $0.00
Disclosure

SEC source: 0001144204-17-032807 · v469119_4.xml · derivative · entry 1

BOYNTON ALTON L · CIK 0001253935 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,402,935

Underlying: Common Stock · 3,402,935 shares

Expires 2022-06-13

F1 · derivative.exercise_date: The option's vesting schedule is as follows: 50% vested upon the date of grant with the remaining 50% vesting over a 24-month period in equal monthly installments

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June 13, 2017 Filed Jun 29, 2017 20:25 UTC
BOSCH MARNIX LChief Technical Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 7,940,182 $0.00 Strike: $0.25 $0.00
Disclosure

SEC source: 0001144204-17-034899 · v469635_4.xml · derivative · entry 1

BOSCH MARNIX L · CIK 0001253933 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,940,182

Underlying: Common Stock · 7,940,182 shares

Expires 2022-06-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The option's vesting schedule is as follows: 50% vested upon the date of grant with the remaining 50% vesting over a 24-month period in equal monthly installments

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.