POWERS LINDA F (President and CEO) sold 4.36M shares of NORTHWEST BIOTHERAPEUTICS INC on the open market
Open‑market sale worth $741.7K. Review remaining holdings and any 10b5‑1 plan disclosures.
S · 2 sales
Filed: 1/29/2019ACC: 0001144204-19-003609
DirectorOfficer10% Owner· President and CEO
Since Dec 2018
-6.54M
Net shares
Net seller
$741.7K
Total sold
2
Open market trades
0B · 2S
4
Total transactions
6.54M disposed
Non-Derivative Transactions2
Restricted Common Stock, par value $0.001
Direct
Shares
−3.56M
Price / share
$0.17
Trade value
$604.97K
% of position
10.8%
12/27/2018
32.97M→29.41M
Restricted Common Stock, par value $0.001
Indirect
Shares
−804.15K
Price / share
$0.17
Trade value
$136.70K
% of position
New position
12/28/2018
804.15K→0.00
Total
Net shares
−4.36M
Net value
-$741.67K
| Security | Date | Type | Shares | Price / Share | Trade Value | % of Position | Held Before | Held After |
|---|---|---|---|---|---|---|---|---|
| Restricted Common Stock, par value $0.001 Direct | 12/27/2018 | S · Sale | −3.56M | $0.17 | $604.97K | 10.8% | 32.97M | 29.41M |
| Restricted Common Stock, par value $0.001 Indirect | 12/28/2018 | S · Sale | −804.15K | $0.17 | $136.70K | New position | 804.15K | 0.00 |
| Total | −4.36M | -$741.67K | ||||||
Derivative Transactions2
Class D-2 Warrants
Direct
Converts to
Common Stock, par value $0.001
1.78M shares
Shares
−1.78M
Strike price
0.30
Held after
0.00
Exercisable
—
12/27/2018
Class D-2 Warrants
Indirect
Converts to
Common Stock, par value $0.001
402.07K shares
Shares
−402.07K
Strike price
0.30
Held after
0.00
Exercisable
—
12/28/2018
| Security | Converts To | Date | Type | Shares | Strike Price | Exercisable | Held After |
|---|---|---|---|---|---|---|---|
| Class D-2 Warrants Direct | Common Stock, par value $0.0011.78M shares | 12/27/2018 | S · Sale | −1.78M | 0.30 | — | 0.00 |
| Class D-2 Warrants Indirect | Common Stock, par value $0.001402.07K shares | 12/28/2018 | S · Sale | −402.07K | 0.30 | — | 0.00 |