Annual Statement of Changes in Beneficial Ownership (5)
February 07 2023 - 5:55PM
Edgar (US Regulatory)
FORM 5
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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Form 3 Holdings Reported
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Form 4 Transactions Reported |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB Number:
3235-0362
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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BOYNTON ALTON L | 2. Issuer Name and Ticker or Trading SymbolNORTHWEST BIOTHERAPEUTICS INC [NWBO] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
CHIEF SCIENTIFIC OFFICER |
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(Last)
(First)
(Middle)
4800 MONGTGOMERY #800 | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY)
12/31/2022 |
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(Street)
BETHSDA, MD 20814
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code
(Instr. 8) | 4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) | 7. Nature of Indirect Beneficial Ownership
(Instr. 4) |
| Amount | (A) or (D) | Price |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year
(Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4) | 11. Nature of Indirect Beneficial Ownership
(Instr. 4) |
| (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| COMMON STOCK OPTIONS | $0.23 | 5/26/2022 | | G (1) | | 4900000 | 5/28/2018 | 5/28/2028 | COMMON STOCK PAR VALUE $0.001 | 4900000 | $0 | 9761256 | D | |
| COMMON STOCK OPTIONS | $0.35 | 7/27/2022 | | G (1) | | 3000000 | 7/2/2020 | 12/1/2030 | COMMON STOCK PAR VALUE $0.001 | 3000000 | $0 | 9761256 | D | |
| COMMON STOCK OPTIONS | $0.35 | 12/6/2022 | | G (1) | | 4500000 | 7/2/2020 | 12/1/2030 | COMMON STOCK PAR VALUE $0.001 | 4500000 | $0 | 9761256 | D | |
| COMMON STOCK OPTIONS | $0.35 | 12/6/2022 | | G (1) | | 4500000 | 7/2/2020 | 12/1/2030 | COMMON STOCK PAR VALUE $0.001 | 4500000 | $0 | 9761256 | D | |
| Explanation of Responses: |
| (1) | GIFTS FROM DR. BOYNTON FOR ESTATE PLANNING PURPOSES. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
BOYNTON ALTON L
4800 MONGTGOMERY #800
BETHSDA, MD 20814 |
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| CHIEF SCIENTIFIC OFFICER |
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Signatures
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| /s/ Dr. Alton L. Boynton | | 2/7/2023 |
| **Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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