Current Report Filing (8-k)
January 13 2023 - 04:34PM
Edgar (US Regulatory)
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2023-01-09 2023-01-09 iso4217:USD xbrli:shares iso4217:USD
xbrli:shares
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 9, 2023
Northwest Biotherapeutics, Inc.
(Exact name of registrant as specified in its charter)
Delaware |
|
0-35737 |
|
94-3306718 |
(State or other
jurisdiction |
|
(Commission |
|
(IRS
Employer |
of
incorporation) |
|
File Number) |
|
Identification
No.) |
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):
|
¨ |
Written communications
pursuant to Rule 425 under the Securities Act (17 CFR
230.425) |
|
¨ |
Soliciting material
pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12) |
|
¨ |
Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17
CFR 240.14d-2(b)) |
|
¨ |
Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange
Act (17 CFR 240.13e-4(c)) |
Title of
each class: |
|
Trading
Symbol(s) |
|
Name of
each exchange on which
registered: |
Common Stock, par value, $0.001 per share |
|
NWBO |
|
OTCQB |
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
5.03. |
Amendments
to Articles of Incorporation or Bylaws; Change in Fiscal
Year. |
On January 9, 2023, the Company filed a Certificate of Amendment of
its Seventh Amended and Restated Certificate of Incorporation (the
“Certificate of Amendment”) with the Secretary of the State of
Delaware, which effected an increase in the Company’s authorized
shares of common stock, from 1,200,000,000 to 1,700,000,000, par
value $0.001 per share. The foregoing description is qualified in
its entirety by reference to the full text of the Certificate of
Amendment, which is included as Exhibit 3.1 to this Current Report
on Form 8-K and is incorporated herein by reference.
Item 9.01. |
Financial Statements
and Exhibits. |
(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.
|
NORTHWEST
BIOTHERAPEUTICS, INC. |
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|
|
|
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Date: January
13, 2023 |
By: |
/s/ Linda
Powers |
|
Name: |
Linda
Powers |
|
Title: |
Chief
Executive Officer and Chairman |
Northwest Biotherapeutics (QB) (USOTC:NWBO)
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