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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 7/22/19 Northwest Biotherapeutics Inc 8-K:3 7/16/19 1:17K Toppan Vintage/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 12K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of report (Date of earliest event reported): July 16, 2019
Northwest Biotherapeutics, Inc.
(Exact name of registrant as specified in its charter)
| Delaware | 0-35737 | 94-3306718 | ||
| (State or other jurisdiction | (Commission | (IRS Employer | ||
| of incorporation) | File Number) | Identification No.) |
4800 Montgomery Lane, Suite 800
(Address of Principal Executive Offices)
(240) 497-9024
(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):
| ¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ¨ | 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: |
| Common Stock, par value, $0.001 per share |
|
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).
Emerging Growth Company ¨
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 3.02 | Unregistered Sales of Equity Securities. |
In connection with a portion of the new investment of $2.7 million received by Northwest Biotherapeutics, Inc. (the "Company") as reported in the Prospectus Supplement filed on July 18, 2019, the Company did not issue any additional warrants for the new investment by the investors, but the Company, in effect, agreed to extend by twelve months the maturity date of certain existing warrants already held by some of those investors. The twelve-month extension relates to existing warrants which would otherwise be expiring during the next twelve months, and which are exercisable for 33,337,507 shares of the Company's common stock.
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: July 22, 2019 | By: | /s/ Linda Powers | |
| Name: | Linda Powers | ||
| Title: | Chief Executive Officer and Chairman | ||
C:
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 7/22/19 | |||
| 7/18/19 | 424B5 | |||
| For Period End: | 7/16/19 | |||
| 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 8/07/20 Northwest Biotherapeutics Inc. 424B5 1:351K Toppan Merrill/FA |