NWBO · Northwest Biotherapeutics Inc · Insider Trading

GIFT FROM DR. BOYNTON TO FAMILY MEMBERS WHO DO NOT SHARE SAME RESIDENCE FOR ESTATE PLANNING PURPOSES

GIFT FROM DR. BOSCH TO FAMILY MEMBERS WHO DO NOT SHARE SAME RESIDENCE FOR ESTATE PLANNING PURPOSES

GIFT FROM DR. BOYNTON TO FAMILY MEMBERS WHO DO NOT SHARE SAME RESIDENCE FOR ESTATE PLANNING PURPOSES

Dr. Malik sold a total of 570,000 shares solely to pay a tax obligation, and all proceeds are being used for such taxes.

Dr. Malik sold a total of 570,000 shares solely to pay a tax obligation, and all proceeds are being used for such taxes.

Dr. Malik sold a total of 570,000 shares solely to pay a tax obligation, and all proceeds are being used for such taxes.

GIFT FROM DR. BOYNTON TO FAMILY MEMBERS WHO DO NOT SHARE SAME RESIDENCE FOR ESTATE PLANNING PURPOSES

On April 3, 2023, Dr. Bosch was issued 119,355 shares of the Company's common stock pursuant to his exercise of certain options that were awarded in 2017.

GIFTS FROM DR. BOYNTON FOR ESTATE PLANNING PURPOSES.

GIFTS FROM DR. BOYNTON FOR ESTATE PLANNING PURPOSES.

On December 1, 2022, the Issuer and Mr. Jasinowski entered into a Subscription Agreement (the "Agreement"). Pursuant to the Agreement, Mr. Jasinowski purchased 28,235 shares of the Issuer's Series C Convertible Preferred Stock at a price per share of $21.25, for an aggregate purchase price of approximately $600,000.

GIFTS FROM DR. BOYNTON FOR ESTATE PLANNING PURPOSES.

GIFTS FROM DR. BOYNTON FOR ESTATE PLANNING PURPOSES.

Gift from Dr. Boynton for estate planning purposes.

These options are gifts from Ms. Powers for no consideration.

These options were already approved and publicly reported in 2018. The exercise price was determined with reference to the pricing for unrelated investors at that time. However, the documents to implement and issue (grant) them have not been executed until now.

These options were approved in January 2020. The exercise price was determined based upon the pricing in year-end financings with unrelated investors. However, these options have not been executed and implemented (granted) until now.

These warrants were in partial consideration of Ms. Powers' loans of $5.4 million to the Company and forbearance on the repayment of those loans. These warrants were approved and publicly reported in 2018. However, the documents to implement and issue (grant) these warrants were not executed until now. The exercise price was determined with reference to the price per share paid by unrelated investors.

These options were awarded in part for service during the last 2 years. However, the documents to implement and issue (grant) them have not been executed until now. The $0.25 exercise price was determined with reference to the pricing for unrelated investors at the time of approval, which was the trailing 10-day average closing market price of the Company's stock, which was about $0.22. These options are subject to certain vesting requirements. They are also suspended and will not become exercisable until December 1, 2020.

These options were awarded in part for service during the last 2 years. However, the documents to implement and issue (grant) them have not been executed until now. The $0.25 exercise price was determined with reference to the pricing for unrelated investors at the time of approval, which was the trailing 10-day average closing market price of the Company's stock, which was about $0.22. These options are subject to certain vesting requirements. They are also suspended and will not become exercisable until December 1, 2020.

These options were awarded in part for service during the last 2 years. However, the documents to implement and issue (grant) them have not been executed until now. The $0.25 exercise price was determined with reference to the pricing for unrelated investors at the time of approval, which was the trailing 10-day average closing market price of the Company's stock, which was about $0.22. These options are subject to certain vesting requirements. They are also suspended and will not become exercisable until December 1, 2020.

These options were approved in January 2020. The exercise price was determined based upon the pricing in year-end financings with unrelated investors. However, these options have not been executed and implemented (granted) until now.

These options were approved in January 2020. The exercise price was determined based upon the pricing in year-end financings with unrelated investors. However, these options have not been executed and implemented (granted) until now.

These options were approved in January 2020. The exercise price was determined based upon the pricing in year-end financings with unrelated investors. However, these options have not been executed and implemented (granted) until now.

These options were already approved and publicly reported in 2018. The exercise price was determined with reference to the pricing for unrelated investors at that time. However, the documents to implement and issue (grant) them have not been executed until now.

These options were already approved and publicly reported in 2018. The exercise price was determined with reference to the pricing for unrelated investors at that time. However, the documents to implement and issue (grant) them have not been executed until now.

These options were awarded in part for service during the last 2 years. However, the documents to implement and issue (grant) them have not been executed until now. The $0.25 exercise price was determined with reference to the pricing for unrelated investors at the time of approval, which was the trailing 10-day average closing market price of the Company's stock, which was about $0.22. These options are subject to certain vesting requirements. They are also suspended and will not become exercisable until December 1, 2020.

These options were already approved and publicly reported in 2018. The exercise price was determined with reference to the pricing for unrelated investors at that time. However, the documents to implement and issue (grant) them have not been executed until now.

Extension of an existing warrant is deemed to be a cancellation and re-issuance. H is the transaction code which covers cancellation of securities.

J is the transaction code for "other acquisitions". It covers the deemed issuance of replacement warrants.

This portion of existing warrants held by Ms. Powers was extended in consideration for suspension of these warrants making them unexercisable until Nov. 1, 2020, and for suspension of other warrants held by Ms. Powers making those unexercisable until Nov. 1, 2020 as well. These extended warrants will have an exercise period of 2-1/2 years after the suspension period.

On February 3, 2020, the Issuer and Mr. Jasinowski entered into a Stock Purchase Agreement (the "Agreement"). Pursuant to the Agreement, Mr. Jasinowski purchased 526,316 shares of the Issuer's Common Stock at a price per share of $0.19, for an aggregate purchase price of approximately $100,000.