NORTHWEST BIOTHERAPEUTICS INC Form D Notices of Exempt Offering of Securities
Notices filed with the SEC for securities sold without registration under Regulation D or Section 4(a)(5), newest first. Values are as filed.
- 2020-09-14: Federal exemption Rule 506(b); Types of securities offered SecurityToBeAcquired; Date of first sale 2020-08-28; Total offering amount $2,590,203.
- 2018-01-10: Federal exemption Rule 506(c); Types of securities offered Equity; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2017-12-29; Total offering amount Indefinite.
- 2017-05-17: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2017-05-02; Total offering amount Indefinite.
- 2016-03-15: Federal exemption Rule 506(b); Types of securities offered OptionToAcquire; Date of first sale 2016-02-29; Total offering amount $10,000,000.
| Filed | Federal exemption | Types of securities offered | Date of first sale | Total offering amount | Total amount sold | Total remaining to be sold | Investors who have already invested |
|---|---|---|---|---|---|---|---|
| 2020-09-14 | Rule 506(b) | SecurityToBeAcquired | 2020-08-28 | $2,590,203 | $0 | $2,590,203 | 2 |
| 2018-01-10 | Rule 506(c) | Equity; OptionToAcquire; SecurityToBeAcquired | 2017-12-29 | Indefinite | $880,000 | Indefinite | 0 |
| 2017-05-17 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2017-05-02 | Indefinite | $52,000 | Indefinite | 1 |
| 2016-03-15 | Rule 506(b) | OptionToAcquire | 2016-02-29 | $10,000,000 | $10,000,000 | $0 | 5 |
| 2010-12-09 D/A | Rule 506; 46 | Equity; Debt; OptionToAcquire | 2010-11-29 | $395,000 | $395,000 | $0 | 7 |
| 2010-12-07 | Rule 506; 46 | Equity; Debt; OptionToAcquire | 2010-11-29 | Indefinite | $0 | Indefinite | 7 |