- Current report filing (8-K)
February 10 2009 - 6:05AM
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): February 10, 2009
NORTHWEST BIOTHERAPEUTICS,
INC.
(Exact name of registrant as
specified in its charter)
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DELAWARE
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0-33393
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94-3306718
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(State or other Jurisdiction of Incorporation)
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(Commission File Number)
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(IRS Employer Identification No.)
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7600 Wisconsin Avenue, Suite
750, Bethesda, MD
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20814
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(Address of Principal Executive Offices)
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(Zip Code)
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Registrant’s telephone number,
including area code:
(240) 497-9024
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(Former name or former address if changed since last report.)
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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:
o
Written
communications pursuant to Rule 425 under the Securities Act (17 CFR
230.425)
o
Soliciting material pursuant
to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o
Pre-commencement communications pursuant to Rule
14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o
Pre-commencement communications pursuant to Rule
13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
1
Item 1.01. Entry into a Material Definitive Agreement
On February 6, 2009 Northwest Biotherapeutics,
Inc. (the Company) received $0.70 million
from Al Rahji Holdings through the purchase of
1,000,000 shares of its common stock at $0.70
per share. The new stock is expected to be
admitted to trading on AIM on 16 February 2009.
The Company granted Investors piggyback
registration rights for any shares of the
Companys common stock issued under the sale of
securities. The Securities Purchase Agreement
contains customary representations, warranties
and covenants.
Item 2.03. Creation of a Direct Financial Obligation or an Obligation
under an Off-Balance Sheet Arrangement of a Registrant.
The disclosure under Item 1.01 of this Form 8-K is incorporated into this Item 2.03 by this
reference.
Item 3.02. Unregistered Sales of Equity Securities.
The disclosure under Item 1.01 of this Form 8-K is incorporated into this Item 3.02 by this
reference. The Company claims exemption from the registration requirements under the Securities Act
of 1933, as amended (the Securities Act), with respect to the shares of the Companys common
stock issuable pursuant to the Securities Purchase Agreement issued to Al Rahji Holdings under
Section 4(2) of the Securities Act and/or Regulation D thereunder, as transactions not involving
any public offering. Al Rajhi Holdings represented and warranted in the warrants that it is an
accredited investor, as defined under the Securities Act. The Company claims this exemption on
the basis that appropriate legends will be affixed to stock certificates issued to Al Rajhi
Holdings pursuant to the Stock Purchase Agreement.
Item 9.01. Financial Statements and Exhibits.
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(a)
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Financial Statements of Businesses Acquired: Not Applicable
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(b)
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Pro Forma Financial Information: Not Applicable
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(c)
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Shell Company Transactions: Not Applicable
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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 hereunto duly authorized.
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Northwest Biotherapeutics, Inc.
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By:
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/s/
Alton L. Boynton
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Alton L. Boynton
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President and Chief Executive
Officer
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Date: February 10, 2009
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