Notification That Quarterly Report Will Be Submitted Late (nt 10-q)
May 16 2018 - 4:42PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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FORM 12b-25
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SEC FILE NUMBER
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001-35737
CUSIP NUMBER
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NOTIFICATION OF LATE FILING
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66737P600
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¨
Form 10-K
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¨
Form 20-F
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¨
Form 11-K
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x
Form 10-Q
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¨
Form 10-D
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¨
Form N-SAR
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¨
Form N-CSR
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For Period Ended:
March 31, 2018
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¨
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Transition Report on Form 10-K
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¨
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Transition Report on Form 20-F
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¨
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Transition Report on Form 11-K
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¨
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Transition Report on Form 10-Q
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¨
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Transition Report on Form N-SAR
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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.
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Full name of registrant
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Former name if applicable:
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4800 Montgomery Lane, Suite 800
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Address of principal executive office
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Bethesda, Maryland 20814
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City, state and zip code
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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.)
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(a)
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The reasons described in reasonable detail in Part III of this form could not be eliminated without unreasonable effort or expense;
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x
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(b)
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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
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(c)
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The accountant’s statement or other exhibit required by Rule 12b-25(c) has been attached if applicable.
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PART III - NARRATIVE
State below in reasonable detail why Forms
10-K, 20-F, 11-K, 10-Q, 10-D, N-SAR, N-CSR, or the transition report or portion thereof, could not be filed within the prescribed
time period.
The Company could not complete its quarter
end procedures without undue hardship and expense given an accounting issue that arose late in the process concerning a variable
interest entity analysis related to a recent agreement with Advent Bioservices. The Registrant undertakes the responsibility to
file such quarterly report no later than five days after its original due date.
PART IV - OTHER INFORMATION
(1)
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Name and telephone number of person to contact in regard to this notification.
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Linda
F. Powers
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(240)
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497-9024
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(Name)
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(Area Code)
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(Telephone Number)
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(2)
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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 answer is no, identify report(s).
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x
Yes
¨
No
(3)
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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?
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¨
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 hereunto duly authorized.
Date:
May 16, 2018
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By:
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/s/ Linda F. Powers
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Name:
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Linda F. Powers
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Title:
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President and Chief Executive Officer
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