Replies to post #670036 on NorthWest Biotherapeutics Inc (NWBO)

[barnstormer]

SEC Reporting Obligations

Section 13 Obligations:
Beneficial Ownership: If a company directly or indirectly beneficially owns more than 5% of a class of voting equity securities in another listed company, it triggers reporting requirements under Section 13(d) of the Securities Exchange Act of 1934.
Discretionary Accounts: Additionally, if a company manages discretionary accounts with equity securities trading on a national securities exchange and an aggregate fair market value of $100 million or more, it must report under Form 13F.
Large Traders: Managing discretionary accounts that purchase or sell NMS securities (exchange-listed equity securities and standardized options) in specified quantities also requires reporting under Form 13H1.

Section 16 Obligations:
Insiders: Directors, officers, and persons who beneficially own more than 10% of any class of equity security (other than an exempted security) in a publicly registered company must file reports with the SEC on Forms 3, 4, and 51.