Notification That Quarterly Report Will Be Submitted Late (nt 10-q)
November 14 2014 - 4:02PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 12b-25
SEC FILE
NUMBER
001-35737
CUSIP NUMBER
66737P600
NOTIFICATION OF LATE FILING
¨ Form 10-K
¨ Form 20-F
¨ Form 11-K
x Form 10-Q
¨ Form 10-D
¨ Form N-SAR
¨ Form N-CSR
For Period Ended: September 30, 2014
¨ Transition Report on Form 10-K
¨ Transition Report on Form 20-F
¨ Transition Report on Form 11-K
¨ Transition Report on Form 10-Q
¨ Transition Report on Form N-SAR
For the Transition Period
Ended: ____________
Nothing in this form shall be construed to imply that the
Commission has verified any information contained herein.
If the notification relates to a portion of the filing checked
above, identify the item(s) to which the notification relates:_________________________________
PART I - REGISTRANT INFORMATION
Northwest Biotherapeutics, Inc.
Full name of registrant
Former name if applicable:
4800 Montgomery Lane, Suite 800
Address of principal executive office
Bethesda, Maryland 20814
City, state and zip code
PART II - RULES 12b-25 (b) AND (c)
If the subject report could not be filed without unreasonable
effort or expense and the registrant seeks relief pursuant to Rule 12b-25 (b), the following should be completed. (Check box if
appropriate.)
| (a) | The reasons described in reasonable detail in Part III
of this form could not be eliminated without unreasonable effort or expense; |
(X) | (b) | The subject annual report, semi-annual report, transition
report on Form 10-K, Form 20-F, Form 11-K, Form N-SAR or Form N-CSR, or portion thereof, will be filed on or before the fifteenth
calendar day following the prescribed due date; or the subject quarterly report or transition report on Form 10-Q or subject distribution
report on Form 10-D, or portion thereof, will be filed on or before the fifth calendar day following the prescribed due date;
and |
| (c) | The accountant’s statement or other exhibit required
by Rule 12b-25(c) has been attached if applicable. |
PART III - NARRATIVE
State below in reasonable detail the reasons why Forms 10-K,
20-F, 11-K, 10-Q, 10-D, N-SAR, N-CSR, or the transition report portion thereof, could not be filed within the prescribed time period.
The Company requires additional time to complete its valuation
of previously issued financial instruments. The valuation could not be completed without incurring undue hardship and expense.
The registrant undertakes the responsibility to file such quarterly report no later than five days after its original date.
PART IV - OTHER INFORMATION
| (1) | Name and telephone number of person to contact in regard
to this notification |
Linda F. Powers |
|
(240) |
|
497-9024 |
(Name) |
|
(Area Code) |
|
(Telephone Number) |
| (2) | Have all other periodic reports required under Section
13 or 15(d) of the Securities Exchange Act of 1934 or Section 30 of the Investment Company Act of 1940 during the preceding 12
months or for such shorter period that the registrant was required to file such report(s) been filed? If the answer is no, identify
report(s). |
x Yes ¨ No
| (3) | Is it anticipated that any significant change
in results of operations from the corresponding period for the last fiscal year will be reflected by the earnings statements to
be included in the subject report or portion thereof? |
¨ Yes x No
If
so: attach an explanation of the anticipated change, both narratively and quantitatively, and, if appropriate, state the reasons
why a reasonable estimate of the results cannot be made.
Northwest Biotherapeutics, Inc.
(Name of Registrant
as Specified in Charter)
has caused this notification to be signed on its behalf by the
undersigned thereunto duly authorized.
|
|
|
Date: November 14, 2014 |
By: |
/s/ Linda F. Powers |
|
|
Name: Title: |
Linda F. Powers President and Chief Executive Officer |
|
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