Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NORTHWEST BIOTHERAPEUTICS INCNWBO · Entity 5982 | See Remarks | July 02, 2020 | July 03, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
NORTHWEST BIOTHERAPEUTICS INC
Report date July 02, 2020 · Filed July 03, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Options to purchase Common Stock, par value $0.001SEC Table II · derivative / convertible security · Conversion / exercise price $0.25 · Expires 2030-12-01 | Direct | 21,822,937 |
Reported balance
After 2020-07-02 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-07-02 · Grant · Acquired 21,822,937 · Balance 21,822,937 F1: These options were awarded in part for service during the last 2 years. However, the documents to implement and issue (grant) them have not been executed until now. The $0.25 exercise price was determined with reference to the pricing for unrelated investors at the time of approval, which was the trailing 10-day average closing market price of the Company's stock, which was about $0.22. These options are subject to certain vesting requirements. They are also suspended and will not become exercisable until December 1, 2020. |
Filing footnotes · ownership attribution and instrument terms
F1: These options were awarded in part for service during the last 2 years. However, the documents to implement and issue (grant) them have not been executed until now. The $0.25 exercise price was determined with reference to the pricing for unrelated investors at the time of approval, which was the trailing 10-day average closing market price of the Company's stock, which was about $0.22. These options are subject to certain vesting requirements. They are also suspended and will not become exercisable until December 1, 2020.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 02, 2020 Filed Jul 3, 2020 01:55 UTC | NORTHWEST BIOTHERAPEUTICS INC NWBO · Entity 5982 | GrantOptions to purchase Common Stock, par value $0.001 · Derivative | 5,415,952 | $0.00 Strike: $0.21 | $0.00 |
DisclosureSEC source: 0001104659-20-080812 · tm2022243d12_4.xml · derivative · entry 2 Goldman Leslie J. · CIK 0001742619 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,415,952 Underlying: Common Stock, par value $0.001 · 5,415,952 shares Expires 2030-07-02 F2 · kind: These options were approved in January 2020. The exercise price was determined based upon the pricing in year-end financings with unrelated investors. However, these options have not been executed and implemented (granted) until now. Read SEC document |
| July 02, 2020 Filed Jul 3, 2020 01:55 UTC | NORTHWEST BIOTHERAPEUTICS INC NWBO · Entity 5982 | GrantOptions to purchase Common Stock, par value $0.001 · Derivative | 1,315,566 | $0.00 Strike: $0.25 | $0.00 |
DisclosureSEC source: 0001104659-20-080812 · tm2022243d12_4.xml · derivative · entry 1 Goldman Leslie J. · CIK 0001742619 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,315,566 Underlying: Common Stock, par value $0.001 · 1,315,566 shares Expires 2030-07-02 F1 · kind: These options were already approved and publicly reported in 2018. The exercise price was determined with reference to the pricing for unrelated investors at that time. However, the documents to implement and issue (grant) them have not been executed until now. Read SEC document |
| July 02, 2020 Filed Jul 3, 2020 01:55 UTC | NORTHWEST BIOTHERAPEUTICS INC NWBO · Entity 5982 | GrantOptions to purchase Common Stock, par value $0.001 · Derivative | 21,822,937 | $0.00 Strike: $0.25 | $0.00 |
DisclosureSEC source: 0001104659-20-080811 · tm2022243d11_4.xml · derivative · entry 1 Goldman Leslie J. · CIK 0001742619 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,822,937 Underlying: Common Stock, par value $0.001 · 21,822,937 shares Expires 2030-12-01 F1 · kind: These options were awarded in part for service during the last 2 years. However, the documents to implement and issue (grant) them have not been executed until now. The $0.25 exercise price was determined with reference to the pricing for unrelated investors at the time of approval, which was the trailing 10-day average closing market price of the Company's stock, which was about $0.22. These options are subject to certain vesting requirements. They are also suspended and will not become exercisable until December 1, 2020. Read SEC document |
| May 28, 2018 Filed Jun 19, 2018 00:00 UTC | NORTHWEST BIOTHERAPEUTICS INC NWBO · Entity 5982 | GrantOptions to purchase Common Stock, par value $0.001 · Derivative | 24,500,000 | Not disclosed Strike: $0.23 | Not disclosed |
DisclosureSEC source: 0001144204-18-034675 · tv495291_4.xml · derivative · entry 1 Goldman Leslie J. · CIK 0001742619 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,500,000 Underlying: Common Stock, par value $0.001 · 24,500,000 shares Expires 2028-05-28 F1 · shares: 19,600,000 of these 24,500,000 Options were previously reported on Form 8-K on January 16, 2018, following Board approval. 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. F2 · price: The exercise price of the Options is $0.23. 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.