4/A//SEC Filing
Powers Linda F 4/A
Accession 0001144204-18-016504
CIK 0001072379other
Filed
Mar 21, 8:00 PM ET
Accepted
Mar 22, 8:38 PM ET
Size
10.9 KB
Accession
0001144204-18-016504
Insider Transaction Report
Form 4/AAmended
Powers Linda F
Director10% Owner
Transactions
- Award
Convertible Note
2018-03-19From: 2018-03-19→ Class D-2 Warrants (869,565 underlying) - Award
Class D-2 Warrants
2018-03-19+869,565→ 869,565 totalExercise: $0.30From: 2018-03-19→ Common Stock (869,565 underlying) - Award
Convertible Note
2018-03-19From: 2018-03-19→ Series B Preferred Stock (173,913 underlying)
Footnotes (2)
- [F1]The reporting person made a new loan of $400,000 to the Company in the form of a note convertible into Series B Preferred Stock and Class D-2 Warrants. The note bears interest at a rate of 10% per annum, and is repayable upon 15 days' notice from the holder (and no later than five years from the date of the Note). The conversion price is $2.30 for one share of Series B Preferred Stock and 10 Class D-2 Warrants, with the Warrants on half of the principal being due and issuable when the loan is provided, and the Warrants on half of the principal and all of the accrued interest being due on a proportional basis in the event of conversion of some or all of the Note. Each share of Series B Preferred Stock is convertible into 10 shares of common stock when such shares of common stock are authorized and available. The Class D-2 Warrants are not currently exercisable, will expire five years after they become exercisable and have an exercise price of $0.30.
- [F2]As disclosed in the original filing and in footnote 1, certain Class D-2 Warrants were issued in connection with the notes issuance. This amendment is filed to further indicate the amount of such warrants.
Documents
Issuer
NORTHWEST BIOTHERAPEUTICS INC
CIK 0001072379
Entity typeother
Related Parties
1- filerCIK 0001289624
Filing Metadata
- Form type
- 4/A
- Filed
- Mar 21, 8:00 PM ET
- Accepted
- Mar 22, 8:38 PM ET
- Size
- 10.9 KB