IPO registrations (S-1, F-1) · Registrants

NORTHWEST BIOTHERAPEUTICS INC

SEC CIK
1072379 · filings on EDGAR ↗
Registration
Form S-1, first filed 2001-08-13, last 2012-12-04; 5 initial registrations, 14 amendments
Outcome
Final prospectus filed 2001-12-14; declared effective 2006-10-11; withdrawal requested 2012-01-10
Industry (SIC)
Pharmaceutical Preparations 2834
Incorporated in
DE
Business address
4800 MONTGOMERY LANE, SUITE 800, Bethesda, MD 20814
EIN
94-3306718
Ticker
NWBO (OTC)
EDGAR entity type
operating
Insiders and CEO pay
NORTHWEST BIOTHERAPEUTICS INC on the corporate pages

Filings 30

FiledFormWhat it isName as filedEDGAR
2001-08-13S-1S-1 (registration)NORTHWEST BIOTHERAPEUTICS INC0000891020-01-500155 ↗
2001-10-10S-1/AS-1/A (amendment)NORTHWEST BIOTHERAPEUTICS INC0001095811-01-505498 ↗
2001-10-24S-1/AS-1/A (amendment)NORTHWEST BIOTHERAPEUTICS INC0000891618-01-501831 ↗
2001-11-14S-1/AS-1/A (amendment)NORTHWEST BIOTHERAPEUTICS INC0000891020-01-500305 ↗
2001-11-30S-1/AS-1/A (amendment)NORTHWEST BIOTHERAPEUTICS INC0000891020-01-500343 ↗
2001-12-07S-1/AS-1/A (amendment)NORTHWEST BIOTHERAPEUTICS INC0000891020-01-500366 ↗
2001-12-13S-1/AS-1/A (amendment)NORTHWEST BIOTHERAPEUTICS INC0000891618-01-502588 ↗
2001-12-14424B1424B1 (final prospectus)NORTHWEST BIOTHERAPEUTICS INC0000891020-01-500413 ↗
2001-12-14S-1/AS-1/A (amendment)NORTHWEST BIOTHERAPEUTICS INC0000891618-01-502606 ↗
2006-05-19S-1S-1 (registration)NORTHWEST BIOTHERAPEUTICS INC0000950124-06-002929 ↗
2006-07-17S-1/AS-1/A (amendment)NORTHWEST BIOTHERAPEUTICS INC0000950124-06-003762 ↗
2006-09-29S-1/AS-1/A (amendment)NORTHWEST BIOTHERAPEUTICS INC0000950124-06-005615 ↗
2006-10-11EFFECTEFFECT (declared effective)NORTHWEST BIOTHERAPEUTICS INC9999999995-06-001841 ↗
2008-02-08EFFECTEFFECT (declared effective)NORTHWEST BIOTHERAPEUTICS INC9999999995-08-000461 ↗
2008-02-08EFFECTEFFECT (declared effective)NORTHWEST BIOTHERAPEUTICS INC9999999995-08-000489 ↗
2008-05-07EFFECTEFFECT (declared effective)NORTHWEST BIOTHERAPEUTICS INC9999999995-08-001466 ↗
2011-12-23S-1S-1 (registration)NORTHWEST BIOTHERAPEUTICS INC0001144204-11-071421 ↗
2012-01-10RWRW (withdrawal request)NORTHWEST BIOTHERAPEUTICS INC0001144204-12-001672 ↗
2012-01-10S-1S-1 (registration)NORTHWEST BIOTHERAPEUTICS INC0001144204-12-001697 ↗
2012-02-03S-1/AS-1/A (amendment)NORTHWEST BIOTHERAPEUTICS INC0001144204-12-005615 ↗
2012-02-08EFFECTEFFECT (declared effective)NORTHWEST BIOTHERAPEUTICS INC9999999995-12-000429 ↗
2012-06-29S-1S-1 (registration)NORTHWEST BIOTHERAPEUTICS INC0001144204-12-037417 ↗
2012-11-01S-1/AS-1/A (amendment)NORTHWEST BIOTHERAPEUTICS INC0001144204-12-058782 ↗
2012-11-15S-1/AS-1/A (amendment)NORTHWEST BIOTHERAPEUTICS INC0001144204-12-062777 ↗
2012-11-15S-1/AS-1/A (amendment)NORTHWEST BIOTHERAPEUTICS INC0001144204-12-063190 ↗
2012-12-04S-1/AS-1/A (amendment)NORTHWEST BIOTHERAPEUTICS INC0001144204-12-066236 ↗
2012-12-06EFFECTEFFECT (declared effective)NORTHWEST BIOTHERAPEUTICS INC9999999995-12-003452 ↗
2012-12-10424B4424B4 (final prospectus)NORTHWEST BIOTHERAPEUTICS INC0001144204-12-067286 ↗
2013-02-05EFFECTEFFECT (declared effective)NORTHWEST BIOTHERAPEUTICS INC9999999995-13-000398 ↗
2013-02-13EFFECTEFFECT (declared effective)NORTHWEST BIOTHERAPEUTICS INC9999999995-13-000479 ↗

Officers, directors and large holders Forms 3, 4 and 5

InsiderRoleTitleFilingsYearsOn this site
Hemphill Robert F Jr.TenPercentOwner102006–2014
Powers Linda FDirector; Director,Officer; Director,Officer,TenPercentOwner; Director,TenPercentOwner; TenPercentOwnerChairperson, CEO; President and CEO; See Remarks252006–2020
Toucan Capital Fund II, LPTenPercentOwner32006–2007
Toucan General II, LLCTenPercentOwner92006–2014
Toucan Management, LLCTenPercentOwner12006
Toucan Partners, LLCTenPercentOwner102006–2014
BOYNTON ALTON LDirector; Director,Officer; OfficerChief Executive Officer; Chief Scientific Officer; CHIEF SCIENTIFIC OFFICER; President and CEO; President & CEO; President & COO282006–2024
JOHNSTON JIM DOfficerCFO & Gen Counsel12007
DEASEY ANTHONY PDirector,OfficerSenior VP of Finance - CFO22007
Harris SteveDirector12007
Cognate Bioservices, Inc.TenPercentOwner82014–2015
Toucan Capital Fund III, L.P.TenPercentOwner62014
Farmer Robert ADirector12015
JASINOWSKI JERRY JDirector42015–2022
MALIK NAVIDDirector42015–2024
CF Woodford Equity Income FundTenPercentOwner22015–2016
Woodford Investment Management LLPTenPercentOwner22015–2016
BAYH SUSAN BDirector12016
BLACK COFERDirector22016–2018
BOSCH MARNIX LOfficerChief Technical Officer; CHIEF TECHNICAL OFFICER52017–2024
Goldman Leslie J.OfficerSee Remarks; Senior Vice President32018–2020
DAVIS JEAN M.OfficerSee Remarks12019

Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.

Private offerings before or after (Form D)

First filedIssuerIndustryOfferingSoldInvestorsFilings
2020-09-14NORTHWEST BIOTHERAPEUTICS INCPharmaceuticals$2,590,203$021
2018-01-10NORTHWEST BIOTHERAPEUTICS INCBiotechnologyIndefinite$880,00001
2017-05-17NORTHWEST BIOTHERAPEUTICS INCBiotechnologyIndefinite$52,00011
2016-03-15NORTHWEST BIOTHERAPEUTICS INCBiotechnology$10,000,000$10,000,00051

Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.