NORTHWEST BIOTHERAPEUTICS INC
For the period ended Dec 31, 2024. Filed Mar 31, 2025.
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FY2024 · Filed Mar 31, 2025
NWBO$0.17-1.7%Stored close · as of Nov 10, 2026
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Item 15. Exhibits and Financial Statement Schedules
The Exhibits listed below are identified by numbers corresponding to the Exhibit Table of Item 601 of Regulation S-K. The Exhibits designated by an asterisk (*) are management contracts or compensatory plans or arrangements required to be filed pursuant to Item 15.
EXHIBIT INDEX
| ExhibitNumber | Description | |
| 3.1 | Seventh Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.1 filed with the Registrant’s Amendment No. 1 to the Registration Statement on Form S-1(File No. 333-134320) on July 17, 2006). | |
| 3.2 | Third Amended and Restated Bylaws of the Company (incorporated by reference to Exhibit 3.1 filed with the Registrant’s Current Report on Form 8-K on June 22, 2007). | |
| 3.3 | Amendment to Seventh Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.2 filed with the Registrant’s Current Report on Form 8-K on June 22, 2007). | |
| 3.5 | Amendment to Seventh Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.1 filed with the Registrant’s Quarterly Report on Form 10-Q on May 21, 2012). | |
| 3.6 | Amendment to Seventh Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.1 filed with the Registrant’s Current Report on Form 8-K on September 26, 2012). | |
| 3.61 | | Amendment to Seventh Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.1 filed with the Registrant’s Current Report on Form 8-K on January 13, 2023). |
| 3.7 | Amendment to Third Amended and Restated Bylaws of the Company (incorporated by reference to Exhibit 3.1 filed with the Registrant’s Current Report on Form 8-K on December 11, 2012). | |
| 3.8 | Amended and Restated Certificate of Designations of Series A Convertible Preferred Stock (incorporated by reference to Exhibit 3.1 filed with the Registrant’s Current Report on Form 8-K on December 21, 2017). | |
| 3.9 | Amended and Restated Certificate of Designations of Series B Convertible Preferred Stock (incorporated by reference to Exhibit 3.1 filed with the Registrant’s Current Report on Form 8-K on January 4, 2018). | |
| 3.91 | | Certificate of Elimination of the Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (incorporated by reference to Exhibit 3.1 filed with the Registrant’s Current Report on Form 8-K on July 26, 2022). |
| 3.92 | | Certificate of Designations of Series C Convertible Preferred Stock (incorporated by reference to Exhibit 3.2 filed with the Registrant’s Current Report on Form 8-K on July 26, 2022). |
| 4.1 | Description of Securities | |
| 4.2 | Form of common stock certificate (incorporated by reference to Exhibit 4.1 filed with the Registrant’s Amendment No. 3 to the Registration Statement on Form S-1 (Registration No. 333-67350) on November 14, 2001). | |
| 4.3 | Form of Warrant Agency Agreement by and between Northwest Biopharmaceuticals, Inc. and Computershare Trust Company, N.A. and Form of Warrant Certificate (incorporated by reference to Exhibit 4.2 filed with the Registrant’s Form S-1 on December 4, 2012). | |
| 10.1 | Note and Loan Agreement, dated as of March 14, 2018, by and between Northwest Biotherapeutics, Inc. and Linda F. Powers (incorporated by reference to Exhibit 10.75 filed with the Company’s Annual Report on Form 10-K on April 2, 2019). | |
| 10.2 | Note and Loan Agreement, dated as of March 19, 2018, by and between Northwest Biotherapeutics, Inc. and Linda F. Powers (incorporated by reference to Exhibit 10.76 filed with the Company’s Annual Report on Form 10-K on April 2, 2019). | |
| 10.3 | Contract Relating to Sale of Spicers, Sawston, Cambridge, dated as of December 5, 2018, by and between Aracaris Capital Limited and Huawei Technologies Research & Development (UK) Limited. | |
| 10.4 | Lease Relating to Vision Centre, Sawston, Cambridge, by and between Aracaris Capital Limited and Aracaris Limited, dated as of December 14, 2018 (incorporated by reference to Exhibit 10.80 filed with the Company’s Annual Report on Form 10-K on April 2, 2019). | |
| 10.5 | | Equity Compensation Plan, dated May 29, 2020 and as amended on February 25, 2022. |
| 10.6 | | Sub-lease Agreement, dated December 31, 2021, by and between Aracaris Ltd. and Northwest Biotherapeutics, Inc. (collectively the “Sub-Lessor”) and Advent BioServices, Ltd. (the “Sub-Lessee”) (incorporated by reference to Exhibit 10.87 of the Company’s Annual Report on Form 10-K filed on March 1, 2022). |
| 10.7 | | Loan Agreement, dated November 10, 2023, by and between Northwest Biotherapeutics, Inc. and Streeterville Capital, L.L.C. (incorporated by reference to Exhibit 10.90 filed with the Company’s Annual Report on Form 10-K on March 5, 2024). |
| 10.8 | | Loan Agreement, dated April 26, 2024, by and between Northwest Biotherapeutics, Inc. and Streeterville Capital, L.L.C. |
| 10.9 | Stock Purchase Agreement, dated June 4, 2024, by and between Northwest Biotherapeutics, Inc. and SIO Capital Management LLC. | |
| 10.10 | Loan Agreement, dated October 18, 2024, by and between Northwest Biotherapeutics, Inc. and Streeterville Capital, L.L.C. | |
| 10.11 | Standby Equity Purchase Agreement, dated December 19, 2024, by and between Northwest Biotherapeutics, Inc. and YA II PN, LTD. | |
| 19.1 | Insider Trading Policy | |
| 21.1 | | Subsidiaries of the Registrant. |
| 23.1 | | Independent Registered Public Accounting Firm’s Consent. |
| 31.1 | | Certification of the Principal Executive Officer pursuant to Section 302 of the Sarbanes Oxley Act of 2002. |
| 32.1 | | Certification of the Principal Executive Officer pursuant to Section 906 of the Sarbanes Oxley Act of 2002. |
| 101.INS | | Inline XBRL Instance Document. |
| 101.SCH | Inline XBRL Schema Document. | |
| 101.CAL | Inline XBRL Calculation Linkbase Document. | |
| 101.DEF | Inline XBRL Definition Linkbase Document. | |
| 101.LAB | Inline XBRL Label Linkbase Document. | |
| 101.PRE | Inline XBRL Presentation Linkbase Document. | |
| 104 | | Cover Page Interactive Data File (Embedded within the Inline XBRL document and included in Exhibit) |
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