Vault-13

NW Biotherapeutics NWBO

COM · Common Stock · CUSIP 66737P600

Development-stage American pharmaceutical company

11 institutional holders -3 vs Q1 2023
2,976,3613.0m shares reported held*
0.3% of all shares outstanding*
$1.7mreported value*
0 new 2 added 0 reduced 3 sold out net sold ≈ $135.4k (-238.4k shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Shares outstanding: 1.1bn as of 2023-08-07, from the company's own SEC filing; the percentage can still exceed 100%: lent-out shares are counted by the lender and the buyer, and some reports overlap without saying so. Implied quarter-end price ≈ $0.57.

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

051015Q3 22: 13Q4 22: 15Q1 23: 14Q2 23: 1111Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 202213
Q4 202215
Q1 202314
Q2 202311

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
10010Q4 22: 7 bought or addedQ4 22: 0 cut or sold outQ4 22Q1 23: 2 bought or addedQ1 23: 2 cut or sold outQ1 23Q2 23: 2 bought or addedQ2 23: 3 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 202270
Q1 202322
Q2 202323

Biggest buyers

Rothschild Wealth LLC Added +279,000+279.0k
Moloney Securities Asset Management, LLC Added +45,500+45.5k

Biggest sellers

Ancora Advisors LLC Sold out -526,000-526.0k
Ethos Financial Group, LLC Sold out -22,200-22.2k
GRACE & WHITE INC /NY Sold out -14,705-14.7k

Insider purchases and sales in Q2 2023

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

None reported in Q2 2023.

Holders, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Rothschild Wealth LLC 0.44% of their portfolio OAK BROOK, IL 2,469,4402.5m $1.4m $1.4m 0.44% Added +279.0k +279,000
2 Moloney Securities Asset Management, LLC 0.03% of their portfolio MANCHESTER, MO 329,660329.7k $187.2k $187.2k 0.03% Added +45.5k +45,500
3 Opus Capital Group, LLC 0.01% of their portfolio CINCINNATI, OH 60,15060.1k $34.0k $34.0k 0.01% Unchanged
4 Williams Jones Wealth Management, LLC. 0.00% of their portfolio NEW YORK, NY 44,00044.0k $25.0k $25.0k 0.00% Unchanged
5 LEE DANNER & BASS INC 0.00% of their portfolio NASHVILLE, TN 20,00020.0k $11.0k $11.0k 0.00% Unchanged
6 MAI Capital Management 0.00% of their portfolio INDEPENDENCE, OH 20,00020.0k $11.4k $11.4k 0.00% Unchanged
7 AlphaMark Advisors, LLC 0.00% of their portfolio FT. WRIGHT, KY 14,00714.0k $8.0k $8.0k 0.00% Unchanged
8 ADVISORS MANAGEMENT GROUP INC /ADV 0.00% of their portfolio LA CROSSE, WI 10,27010.3k $6.0k $6.0k 0.00% Unchanged
9 Bartlett & Co. LLC 0.00% of their portfolio CINCINNATI, OH 4,2924.3k $2.0k $2.0k 0.00% Unchanged
10 BARTLETT & CO. WEALTH MANAGEMENT LLC 0.00% of their portfolio CINCINNATI, OH 4,2924.3k $2.4k $2.4k 0.00% Unchanged
11 HANTZ FINANCIAL SERVICES, INC. 0.00% of their portfolio SOUTHFIELD, MI 250250 $0 $0 0.00% Unchanged