SEC Info - LF Woodford Equity Income Fund, et al. - ‘4’ for 9/30/16 re: Northwest Biotherapeutics Inc.

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Woodford Investment Management LLP

(Last)

(First)

(Middle)

9400 GARSINGTON ROAD

(Street)

OXFORD

OX4 2HN

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
NORTHWEST BIOTHERAPEUTICS INC [ NWBO ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

Director	X	10% Owner
Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
9/30/16

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

	Form filed by One Reporting Person
X	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction 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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction 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 (Month/Day/Year)		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 Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

1. Name and Address of Reporting Person^*

Woodford Investment Management LLP

(Last)

(First)

(Middle)

9400 GARSINGTON ROAD

(Street)

OXFORD

OX4 2HN

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

CF Woodford Equity Income Fund

(Last)

(First)

(Middle)

40 DUKES PLACE

(Street)

LONDON

EC3A 7NH

(City)

(State)

(Zip)

Explanation of Responses:

Remarks:

This statement is being filed jointly by Woodford Investment Management LLP ("WIM") and CF Woodford Equity Income Fund (the "Woodford Fund"). Neil Woodford, the Head of Investments for WIM, by virtue of his position as such, may be deemed to beneficially own certain securities beneficially owned by WIM. Mr. Woodford expressly disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. WIM is an investment manager for the Woodford Fund and other investment funds.

	/s/ Simon Osborne, As Head of Compliance and Authorized Signatory for WIM.	10/4/16
	/s/ Simon Osborne, As Head of Compliance and Authorized Signatory for WIM in its capacity as the Manager of the Woodford Fund.	10/4/16
	** 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.
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LF Woodford Equity Income Fund, et al. – ‘4’ for 9/30/16 re: Northwest Biotherapeutics Inc.

On: Tuesday, 10/4/16, at 5:13pm ET · For: 9/30/16 · Accession #: 1213900-16-17269 · File #: 1-35737

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents

This ‘4’ Document is an XML Data File that may be rendered in various formats:

LF Woodford Equity Income Fund, et al. – ‘4’ for 9/30/16 re: Northwest Biotherapeutics Inc.

On: Tuesday, 10/4/16, at 5:13pm ET · For: 9/30/16 · Accession #: 1213900-16-17269 · File #: 1-35737

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34Filing Table of Contents

This ‘4’ Document is an XML Data File that may be rendered in various formats:

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents