Current Report Filing (8-k)
January 23 2017 - 9:23AM
Edgar (US Regulatory)
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):
January 19, 2017
NORTHWEST BIOTHERAPEUTICS, INC.
(Exact name of registrant as specified in
its charter)
Delaware
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001-35737
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94-3306718
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(State or other jurisdiction of
incorporation or organization)
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(Commission File Number)
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(IRS Employer
Identification No.)
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4800 Montgomery Lane, Suite 800
Bethesda, MD 20814
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(Address of principal executive offices)
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(204) 497-9024
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(Registrant’s telephone number, including area code)
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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:
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¨
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Written communications pursuant to Rule 425 under the
Securities Act
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¨
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Soliciting material pursuant to Rule 14a-12 under the
Exchange Act
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¨
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Pre-commencement communications pursuant to Rule 14d-2(b)
under the Exchange Act (17 CFR 240.14d-2(b))
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¨
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Pre-commencement communications pursuant to Rule 13e-4(c)
under the Exchange Act (17 CFR 240.13e-4(c))
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Item 7.01. Regulation FD Disclosure.
In response to a question received by Northwest
Biotherapeutics, Inc. (the “Company”) from a shareholder relating to the status of the Company’s Phase III clinical
trials, the Company provided the response set forth in Exhibit 99.1 hereto.
The information in this Item 7.01, including
the exhibit attached hereto, is furnished solely pursuant to Item 7.01 of Form 8-K. Consequently, such information is not deemed
"filed" for the purposes of Section 18 of the Securities Exchange Act of 1934, or otherwise subject to the liabilities
of that section. Further, the information in this Item 7.01, including the exhibit, shall not be deemed to be incorporated by reference
into the filings of the registrant under the Securities Act of 1933.
Item 9.01. Financial Statements and Exhibits.
Exhibit No.
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Description
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Exhibit 99.1
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Response.
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SIGNATURES
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 THEREUNTO
DULY AUTHORIZED.
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NORTHWEST BIOTHERAPEUTICS, INC.
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Date: January 23, 2017
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By:
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/s/
Linda F. Powers
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Name: Linda F. Powers
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Title: Chief Executive Officer
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