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| Northwest Biotherapeutics, Inc. |
| 21720 - 23rd Drive S.E., Suite 100, Bothell, WA 98021 * (425) 608-3000 |
| Business Description | The company is a biotechnology company focused on discovering, developing, and commercializing immunotherapy products that safely generate and enhance immune system responses to effectively treat cancer. |
| Offering Information Company has | |||
| Trading As | NWBT (NASNTL) | Industry | Pharmaceutical (SIC 2834) |
| Type of Stock Offered | Common Shares | Filing Date | 8/13/2001 |
| Domestic Shares Offered | 4,000,000 | Offer Date | 12/14/2001 |
| Foreign Shares Offered | 0 | Filing Range | $8.00 - $10.00 |
| Company Shares | 4,000,000 | Offer Price | $5.00 |
| Selling Shrhldrs Shares | 0 | Gross Spread | $0.350 |
| Gross Proceeds | $20,000,000 | Selling | $0.190 |
| Expenses | - - | Reallowance | $0.100 |
| Post-IPO Shares | 16,498,370 | Employees | - - |
| Primary Underwriting Group | ||
| Underwriter Name | Participation | Underwriter Phone |
| C.E. Unterberg, Towbin | Lead Manager | (212) 572-8060 |
| Fahnestock & Co. Inc. | Co-manager | (212) 668-8163 |
| Roth Capital Partners | Co-manager |
| Income Statement and Cash Flow Summary | |||||||
| Prior Audited Income |
Latest Unaudited Income | ||||||
| Full Year Audited Figures | 6 Months Ending | ||||||
| Figures in U.S. millions except per share data | 12/31/1996 | 12/31/1997 | 12/31/1998 | 12/31/1999 | 12/31/2000 | 6/30/2000 | 6/30/2001 |
| Revenues | 0.227 | 0.479 | 0.385 | 0.211 | 0.156 | 0.116 | 0.060 |
| Income from Oper. | -1.234 | -2.513 | -4.485 | -5.451 | -6.890 | -2.825 | -4.710 |
| Net Income | -1.233 | -2.560 | -4.719 | -5.609 | -12.780 | -4.518 | -4.931 |
| E.P.S | -0.610 | -1.290 | -2.290 | -2.710 | -6.350 | -2.140 | -4.870 |
| Revenue Growth (%) | 111.01 | -19.62 | -45.19 | -26.066 | -48.28 | ||
| Net Income Growth (%) | - | - | - | - | - | ||
| Oper. Profit Margin (%) | - | - | - | - | - | - | - |
| Net Profit Margin (%) | - | - | - | - | - | - | - |
| Cash Flow - Oper. | -6.36 | - | - | ||||
| Cash Flow - Inv. | -2.11 | - | - | ||||
| Cash Flow - Fin. | 8.23 | - | - | ||||
| Balance Sheet Summary and Financial Ratios | |||||
| Balance sheet as of: 6/30/2001 | Financial Ratios | ||||
| Total Assets | 11.81 | Current Assets | 8.08 | Current Ratio | 1.80 |
| Total Liab. | 0.00 | Current Liab. | 4.49 | Debt Ratio | - |
| Total Equity | - | Working Cap. | 3.58 | Debt to Equity Ratio | - |
| Cash | 7.73 | Return on Assets | - | ||
| Use Of Proceeds |
The proceeds from the proposed offering will be used to fund clinical trial activities,pre-clinical research and development activities and contract manufacturing activities and to pay a fee to Northwest Hospital, with any remainder to fund general corporate purposes,including capital expenditures, and working capital to fund anticipated operating losses. |
| Legal Counsel Registrar Auditor | |
| Issuer's Law Firm | Lane Powell Spears Lubersky |
| Bank's Law Firm | Dewey Ballantine |
| Registrar/Transfer Agent | Mellon Investor Services, L.L.C. |
| Auditor | KPMG LLC |
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| Principal Shareholders | ||
| Name of Shareholder | % Owned Before | % Owned After |
| Northwest Hospital | 14.50 | |
| Progress Enterprises S.A. | 7.20 | |
| Medarex, Inc. | 5.80 | |
| Note: represents ownership of 5% or more prior to the offering. | ||