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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 8/20/20 Northwest Biotherapeutics Inc. 8-K:1,2 8/14/20 10:184K Toppan Merrill/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 27K 6: R1 Cover HTML 45K 8: XML IDEA XML File -- Filing Summary XML 11K 5: XML XBRL Instance -- tm2029106d1_8k_htm XML 14K 7: EXCEL IDEA Workbook of Financial Reports XLSX 6K 3: EX-101.LAB XBRL Labels -- nwbo-20200814_lab XML 96K 4: EX-101.PRE XBRL Presentations -- nwbo-20200814_pre XML 64K 2: EX-101.SCH XBRL Schema -- nwbo-20200814 XSD 12K 9: JSON XBRL Instance as JSON Data -- MetaLinks 25± 33K 10: ZIP XBRL Zipped Folder -- 0001104659-20-097276-xbrl Zip 11K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of report (Date of earliest event reported): i August 14, 2020
i Northwest Biotherapeutics, Inc.
(Exact name of registrant as specified in its charter)
| i Delaware | i 0-35737 | i 94-3306718 | ||
| (State or other jurisdiction | (Commission | (IRS Employer | ||
| of incorporation) | File Number) | Identification No.) |
i 4800 Montgomery Lane, i Suite 800
i Bethesda, i Maryland i 20814
(Address of Principal Executive Offices)
(Registrant’s telephone number, including area code)
(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
| i ¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| i ¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| i ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| i ¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
| Title of each class: | Trading Symbol(s) | Name of each exchange on which registered: | ||
| i Common Stock, par value, $0.001 per share | i NWBO | OTCQB |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨
C:
| Item 1.01. | Entry into a Material Definitive Agreement. |
Promissory Note Issued for Loan Made By Iliad Research and Trading, L.P.
On August 14, 2020, Northwest Biotherapeutics, Inc. (the “Company”) entered into a Note Purchase Agreement and Note (collectively, the “Note”) with Iliad Research and Trading, L.P. (the “Holder”) in the amount of $5,505,000. The Note has a maturity of 21 months. There are no repayments during the first 7 months of the term. During months 8 through 21, the Note will be amortized in monthly installments of 110% of the pro rata principal amount. Interest on the Note accrues at a rate of 8% per annum, and the Note includes an original issue discount of $500,000.
The Note contains customary default provisions, including provisions for potential acceleration of the Note and default interest.
| Item 2.03. | Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant. |
The information included in Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference.
C:
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| NORTHWEST BIOTHERAPEUTICS, INC. | |||
| Date: August 14, 2020 | By: | /s/ Linda Powers | |
| Name: Linda Powers | |||
| Title: Chief Executive Officer and Chairman | |||
C:
C:
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 8/20/20 | None on these Dates | ||
| For Period end: | 8/14/20 | |||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 10/13/20 Northwest Biotherapeutics Inc. 424B5 1:344K Toppan Merrill/FA |