Current Report Filing (8-k)
September 01 2020 - 3:24PM
Edgar (US Regulatory)
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2020-09-01
2020-09-01
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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):
September 1, 2020
Northwest Biotherapeutics, Inc.
(Exact name of registrant as specified in
its charter)
Delaware
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0-35737
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94-3306718
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(State or other jurisdiction
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(Commission
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(IRS Employer
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of incorporation)
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File Number)
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Identification No.)
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4800 Montgomery Lane, Suite 800
Bethesda, Maryland 20814
(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):
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¨
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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¨
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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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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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Title of each class:
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Trading Symbol(s)
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Name of each exchange on which
registered:
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Common Stock, par value, $0.001 per share
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NWBO
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OTCQB
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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. ¨
Item 1.01 Entry into a Material Definitive
Agreement.
On September 1, 2020, Northwest
Biotherapeutics, Inc. issued a press release announcing the acquisition of Flaskworks, LLC. A copy of the
press release is attached to this report as Exhibit 99.1 and is incorporated into this Item 1.01 by reference.
Item 2.01. Completion of Acquisition or Disposition
of Assets.
The information set forth
in the press release attached to this report as Exhibit 99.1 is incorporated into this Item 2.01 by reference.
Item 7.01.
The information set forth
in the press release attached to this report as Exhibit 99.1 is incorporated into this Item 7.01 by reference.
Item 9.01. Financial Statements and Exhibits.
(a) Financial Statements
of Businesses Acquired.
To the extent financial
statements are required by this item, they will be filed by amendment as soon as practicable, and in any event
within 71 days hereafter.
(b) Pro Forma Financial
Information.
To the extent that
pro forma financial information is required by this item, it will be filed as soon as practicable, and in any event within 71
days hereafter.
(d) Exhibits.
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.
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NORTHWEST BIOTHERAPEUTICS, INC.
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Date: September 1, 2020
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By:
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/s/ Linda
Powers
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Name: Linda Powers
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Title: Chief Executive Officer and Chairman
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