NorthWest Biotherapeutics Inc (NWBO)

[exwannabe]

The table doesn’t show when and how did Pat acquire the shares ? Were they bought in open market ?

That is disclosed in the Form 3.

The 3/4/5 forms are totally different from the annual proxy or 10K on this. The 3,4,5 are submitted by any individual who is an insider either by holding 10% or being an officer or director. They need to be submitted as shares are bought/sold when covered, or when becoming an insider as in this case. The corporate 10/K/proxy is an annual submission and has less information.

That the holding information has been partially disclosed in the 10K does not change the requirement for the S3 disclosure.