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
On this site
- Business registration: NORTHWEST BIOTHERAPUETICS, INC. EXACT (EIN (EXACT, as the state registration reports it))
- Form 5500 plan sponsor: NORTHWEST BIOTHERAPEUTICS, INC. EXACT (EIN (EXACT))
- Form D issuer: NORTHWEST BIOTHERAPEUTICS INC EXACT (CIK (EXACT))
- Lobbying client: NORTHWEST BIOTHERAPEUTICS Fuzzy (name and state)
- SEC filer: NORTHWEST BIOTHERAPEUTICS INC EXACT (CIK (EXACT))
Filings 30
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2001-08-13 | S-1 | S-1 (registration) | NORTHWEST BIOTHERAPEUTICS INC | 0000891020-01-500155 ↗ |
| 2001-10-10 | S-1/A | S-1/A (amendment) | NORTHWEST BIOTHERAPEUTICS INC | 0001095811-01-505498 ↗ |
| 2001-10-24 | S-1/A | S-1/A (amendment) | NORTHWEST BIOTHERAPEUTICS INC | 0000891618-01-501831 ↗ |
| 2001-11-14 | S-1/A | S-1/A (amendment) | NORTHWEST BIOTHERAPEUTICS INC | 0000891020-01-500305 ↗ |
| 2001-11-30 | S-1/A | S-1/A (amendment) | NORTHWEST BIOTHERAPEUTICS INC | 0000891020-01-500343 ↗ |
| 2001-12-07 | S-1/A | S-1/A (amendment) | NORTHWEST BIOTHERAPEUTICS INC | 0000891020-01-500366 ↗ |
| 2001-12-13 | S-1/A | S-1/A (amendment) | NORTHWEST BIOTHERAPEUTICS INC | 0000891618-01-502588 ↗ |
| 2001-12-14 | 424B1 | 424B1 (final prospectus) | NORTHWEST BIOTHERAPEUTICS INC | 0000891020-01-500413 ↗ |
| 2001-12-14 | S-1/A | S-1/A (amendment) | NORTHWEST BIOTHERAPEUTICS INC | 0000891618-01-502606 ↗ |
| 2006-05-19 | S-1 | S-1 (registration) | NORTHWEST BIOTHERAPEUTICS INC | 0000950124-06-002929 ↗ |
| 2006-07-17 | S-1/A | S-1/A (amendment) | NORTHWEST BIOTHERAPEUTICS INC | 0000950124-06-003762 ↗ |
| 2006-09-29 | S-1/A | S-1/A (amendment) | NORTHWEST BIOTHERAPEUTICS INC | 0000950124-06-005615 ↗ |
| 2006-10-11 | EFFECT | EFFECT (declared effective) | NORTHWEST BIOTHERAPEUTICS INC | 9999999995-06-001841 ↗ |
| 2008-02-08 | EFFECT | EFFECT (declared effective) | NORTHWEST BIOTHERAPEUTICS INC | 9999999995-08-000461 ↗ |
| 2008-02-08 | EFFECT | EFFECT (declared effective) | NORTHWEST BIOTHERAPEUTICS INC | 9999999995-08-000489 ↗ |
| 2008-05-07 | EFFECT | EFFECT (declared effective) | NORTHWEST BIOTHERAPEUTICS INC | 9999999995-08-001466 ↗ |
| 2011-12-23 | S-1 | S-1 (registration) | NORTHWEST BIOTHERAPEUTICS INC | 0001144204-11-071421 ↗ |
| 2012-01-10 | RW | RW (withdrawal request) | NORTHWEST BIOTHERAPEUTICS INC | 0001144204-12-001672 ↗ |
| 2012-01-10 | S-1 | S-1 (registration) | NORTHWEST BIOTHERAPEUTICS INC | 0001144204-12-001697 ↗ |
| 2012-02-03 | S-1/A | S-1/A (amendment) | NORTHWEST BIOTHERAPEUTICS INC | 0001144204-12-005615 ↗ |
| 2012-02-08 | EFFECT | EFFECT (declared effective) | NORTHWEST BIOTHERAPEUTICS INC | 9999999995-12-000429 ↗ |
| 2012-06-29 | S-1 | S-1 (registration) | NORTHWEST BIOTHERAPEUTICS INC | 0001144204-12-037417 ↗ |
| 2012-11-01 | S-1/A | S-1/A (amendment) | NORTHWEST BIOTHERAPEUTICS INC | 0001144204-12-058782 ↗ |
| 2012-11-15 | S-1/A | S-1/A (amendment) | NORTHWEST BIOTHERAPEUTICS INC | 0001144204-12-062777 ↗ |
| 2012-11-15 | S-1/A | S-1/A (amendment) | NORTHWEST BIOTHERAPEUTICS INC | 0001144204-12-063190 ↗ |
| 2012-12-04 | S-1/A | S-1/A (amendment) | NORTHWEST BIOTHERAPEUTICS INC | 0001144204-12-066236 ↗ |
| 2012-12-06 | EFFECT | EFFECT (declared effective) | NORTHWEST BIOTHERAPEUTICS INC | 9999999995-12-003452 ↗ |
| 2012-12-10 | 424B4 | 424B4 (final prospectus) | NORTHWEST BIOTHERAPEUTICS INC | 0001144204-12-067286 ↗ |
| 2013-02-05 | EFFECT | EFFECT (declared effective) | NORTHWEST BIOTHERAPEUTICS INC | 9999999995-13-000398 ↗ |
| 2013-02-13 | EFFECT | EFFECT (declared effective) | NORTHWEST BIOTHERAPEUTICS INC | 9999999995-13-000479 ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| Hemphill Robert F Jr. | TenPercentOwner | 10 | 2006–2014 | ||
| Powers Linda F | Director; Director,Officer; Director,Officer,TenPercentOwner; Director,TenPercentOwner; TenPercentOwner | Chairperson, CEO; President and CEO; See Remarks | 25 | 2006–2020 | |
| Toucan Capital Fund II, LP | TenPercentOwner | 3 | 2006–2007 | ||
| Toucan General II, LLC | TenPercentOwner | 9 | 2006–2014 | ||
| Toucan Management, LLC | TenPercentOwner | 1 | 2006 | ||
| Toucan Partners, LLC | TenPercentOwner | 10 | 2006–2014 | ||
| BOYNTON ALTON L | Director; Director,Officer; Officer | Chief Executive Officer; Chief Scientific Officer; CHIEF SCIENTIFIC OFFICER; President and CEO; President & CEO; President & COO | 28 | 2006–2024 | |
| JOHNSTON JIM D | Officer | CFO & Gen Counsel | 1 | 2007 | |
| DEASEY ANTHONY P | Director,Officer | Senior VP of Finance - CFO | 2 | 2007 | |
| Harris Steve | Director | 1 | 2007 | ||
| Cognate Bioservices, Inc. | TenPercentOwner | 8 | 2014–2015 | ||
| Toucan Capital Fund III, L.P. | TenPercentOwner | 6 | 2014 | ||
| Farmer Robert A | Director | 1 | 2015 | ||
| JASINOWSKI JERRY J | Director | 4 | 2015–2022 | ||
| MALIK NAVID | Director | 4 | 2015–2024 | ||
| CF Woodford Equity Income Fund | TenPercentOwner | 2 | 2015–2016 | ||
| Woodford Investment Management LLP | TenPercentOwner | 2 | 2015–2016 | ||
| BAYH SUSAN B | Director | 1 | 2016 | ||
| BLACK COFER | Director | 2 | 2016–2018 | ||
| BOSCH MARNIX L | Officer | Chief Technical Officer; CHIEF TECHNICAL OFFICER | 5 | 2017–2024 | |
| Goldman Leslie J. | Officer | See Remarks; Senior Vice President | 3 | 2018–2020 | |
| DAVIS JEAN M. | Officer | See Remarks | 1 | 2019 |
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 filed | Issuer | Industry | Offering | Sold | Investors | Filings |
|---|---|---|---|---|---|---|
| 2020-09-14 | NORTHWEST BIOTHERAPEUTICS INC | Pharmaceuticals | $2,590,203 | $0 | 2 | 1 |
| 2018-01-10 | NORTHWEST BIOTHERAPEUTICS INC | Biotechnology | Indefinite | $880,000 | 0 | 1 |
| 2017-05-17 | NORTHWEST BIOTHERAPEUTICS INC | Biotechnology | Indefinite | $52,000 | 1 | 1 |
| 2016-03-15 | NORTHWEST BIOTHERAPEUTICS INC | Biotechnology | $10,000,000 | $10,000,000 | 5 | 1 |
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.