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| LEI | 5493002DRWWEOWTT8005 |
| CIK | 1072379 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Northwest Biotherapeutics, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWEST |
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| July 1, 2025 |
17,727,273 Shares of Common Stock PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To the Prospectus dated October 25, 2022) Registration No. |
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| May 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWES |
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| March 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWEST |
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| March 31, 2025 |
Exhibit 10.8 C O M M E R C I A L L O A N A G R E E M E N T THIS COMMERCIAL LOAN AGREEMENT (this “Loan Agreement”), dated as of April 26, 2024, is entered into by and between NORTHWEST BIOTHERAPEUTICS, INC., a Delaware corporation (“Borrower”), and STREETERVILLE CAPITAL, LLC, a Utah limited liability company, its successors and/or assigns (“Lender”). A.Lender desires to loan and Borrower desires to |
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| March 31, 2025 |
Exhibit 10.9 NORTHWEST BIOTHERAPEUTICS, INC. SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”) is made and entered into as of June 4, 2024 (the “Effective Date”), by and between Northwest Biotherapeutics, Inc., a Delaware Corporation (the “Company”) and Sio Capital Management, LLC (the “Purchaser”). RECITALS WHEREAS, subject to the terms and conditions set forth i |
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| March 31, 2025 |
Subsidiaries of the Registrant. EXHIBIT 21.1 Subsidiaries of the Registrant Name: Jurisdiction Northwest Biotherapeutics Limited United Kingdom Northwest Biotherapeutics Capital Limited United Kingdom NW Bio GmbH Germany Northwest Biotherapeutics B.V. Netherlands Flaskworks LLC United States |
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| March 31, 2025 |
Exhibit 10.10 COMMERCIAL LOAN AGREEMENT THIS COMMERCIAL LOAN AGREEMENT (this “Loan Agreement”), dated as of October 18, 2024, is entered into by and between NORTHWEST BIOTHERAPEUTICS, INC., a Delaware corporation (“Borrower”), and STREETERVILLE CAPITAL, LLC, a Utah limited liability company, its successors and/or assigns (“Lender”). A.Lender desires to loan and Borrower desires to borrow, upon the |
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| March 31, 2025 |
Exhibit 4.1 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following description of the common stock of Northwest Biotherapeutics, Inc. (the “Corporation,” “us,” “our” or ”we”) does not purport to be complete and is subject to, and qualified in its entirety by, our certificate of incorporation, as amended (“certificate”), and |
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| March 31, 2025 |
Equity Compensation Plan, dated May 29, 2020 and as amended on February 25, 2022. Exhibit 10.5 NORTHWEST BIOTHERAPEUTICS, INC. 2020 COMPENSATION PLAN 1.GENERAL. (a)Eligible Award Recipients. The persons eligible to receive Awards are Employees, Directors and Consultants inside and outside of the United States. (b)Awards. (i)Equity Awards. The Plan provides for the grant of any type of equity security, equity-linked security or equity security equivalent (including without limit |
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| March 31, 2025 |
Exhibit 19.1 Insider Trading Policy All employees must comply with applicable laws and rules relating to insider trading, pursuant to which employees are prohibited from trading in Northwest stock or the stock of any other company on the basis of material, non-public information (i.e., “Inside Information”). Inside Information is any non-public information that an investor would reasonably conside |
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| March 31, 2025 |
Exhibit 10.11 STANDBY EQUITY PURCHASE AGREEMENT THIS STANDBY EQUITY PURCHASE AGREEMENT (this “Agreement”) dated as of December 19, 2024, is made by and between YA II PN, LTD., a Cayman Islands exempt limited company (the “Investor”), and NORTHWEST BIOTHERAPEUTICS, INC., a company incorporated under the laws of the State of Delaware (the “Company”). The Investor and the Company may be referred to h |
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| December 26, 2024 |
Exhibit 99.1 4800 Montgomery Lane Suite 800 Bethesda, MD 20814 t (240) 497-9024 f (240) 627-4121 www.nwbio.com OTCQB: NWBO For release at 9:30 a.m. EST on December 26, 2024 Northwest Biotherapeutics Announces $5 Million Convertible Note Financing and Standby Facility for Up to $50 Million Additional Financing BETHESDA, Md., December 26, 2024 - Northwest Biotherapeutics (OTCQB:NWBO) (the “Company” |
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| December 26, 2024 |
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): December 19, 2024 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Empl |
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| December 26, 2024 |
21,587,302 Shares of Common Stock 424B5 1 tm2432020d1424b5.htm 424B5 PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To the Prospectus dated October 25, 2022) Registration No. 333-267933 21,587,302 Shares of Common Stock On December 19, 2024, Northwest Biotherapeutics, Inc. (the “Company”) entered into transactions totaling $5,500,000 pursuant to this prospectus supplement from offerings at a blended average of $0.255 per |
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| November 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORT |
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| November 1, 2024 |
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): October 31, 2024 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Emplo |
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| August 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents d UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| August 2, 2024 |
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): August 2, 2024 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employe |
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| July 3, 2024 |
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): June 29, 2024 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employer |
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| June 25, 2024 |
As filed with the Securities and Exchange Commission on June 25, 2024 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| June 4, 2024 |
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): May 31, 2024 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employer |
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| June 3, 2024 |
TABLE OF CONTENTS As filed with the Securities and Exchange Commission on June 3, 2024 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 22, 2024 |
TABLE OF CONTENTS As filed with the Securities and Exchange Commission on June [3], 2024 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWES |
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| May 2, 2024 |
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): April 26, 2024 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employe |
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| April 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWES |
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| March 22, 2024 |
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): March 18, 2024 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employe |
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| March 14, 2024 |
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): March 8, 2024 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employer |
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| March 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWEST |
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| March 5, 2024 |
Exhibit 10.89 C O M M E R C IA L LO A N AG R E E M E N T THIS COMMERCIAL LOAN AGREEMENT (this “Loan Agreement”), dated as of March 2, 2023, is entered into by and between NORTHWEST BIOTHERAPEUTICS, INC., a Delaware corporation (“Borrower”), and STREETERVILLE CAPITAL, LLC, a Utah limited liability company, its successors and/or assigns (“Lender”). A.Lender desires to loan and Borrower desires to bo |
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| March 5, 2024 |
Exhibit 10.90 COMMERCIAL LOAN AGREEMENT THIS C0M!V1ERCIAL LOAN AGREEMENT (this “Loan Agreement”), dated as of November 10, 2023, is entered into by and between NORTHWEST BI0THERAPEUTICS, INC., a Delaware corporation (“Borrower”), and STREETERVILLE CAPITAL, LLC, a Utah limited liability company, its successors and/or assigns (“Lender”). A.Lender desires to loan and Borrower desires to borrow, upon |
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| March 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): x Form 10-K ¨ Form 20-F ¨ Form 11-K ¨ Form 10-Q ¨ Form 10-D ¨ Form N-CEN ¨ Form N-CSR For Period Ended: December 31, 2023 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition Report on Form 11-K ¨ Transition Report on Form 10-Q For the Transition Pe |
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| November 16, 2023 |
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): November 10, 2023 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Empl |
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| November 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORT |
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| August 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWEST |
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| August 9, 2023 |
Subsidiaries of the Registrant EXHIBIT 21.1 Subsidiaries of the Registrant Name: Jurisdiction Northwest Biotherapeutics Limited United Kingdom Aracaris Capital, Ltd. United Kingdom NW Bio Gmbh Germany Northwest Biotherapeutics B.V. Netherlands Flaskworks LLC United States |
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| August 9, 2023 |
Certificate of Incorporation on Change of Name EXHIBIT 21.2 CERTIFICATE OF INCORPORATION ON CHANGE OF NAME Company Number 9103355 The Registrar of Companies for England and Wales hereby certifies that under the Companies Act 2006: ARACARIS LIMITED a company incorporated as private limited by shares, having its registered office situated in England and Wales, has changed its name to: NORTHWEST BIOTHERAPEUTICS LIMITED Given at Companies House on |
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| May 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWES |
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| March 8, 2023 |
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): March 2, 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 |
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| February 28, 2023 |
Exhibit 10.88 COMMERCIAL PROMISSORY NOTE U.S. $5,505,000.00 September 26, 2022 FOR VALUE RECEIVED, Northwest Biotherapeutics, Inc., a Delaware corporation (“Borrower”), promises to pay in lawful money of the United States of America to the order of Streeterville Capital, LLC, a Utah limited liability company, or its successors or assigns (“Lender”), the principal sum of $5,505,000.00, together wit |
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| February 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWEST |
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| January 13, 2023 |
Exhibit 3.1 |
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| January 13, 2023 |
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 Employ |
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| January 6, 2023 |
Submission of Matters to a Vote of Security Holders 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): December 30, 2022 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Empl |
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| December 23, 2022 |
As filed with the Securities and Exchange Commission on December [XX], 2022 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| December 16, 2022 |
As filed with the Securities and Exchange Commission on December 16, 2022 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| December 5, 2022 |
DEF 14A 1 tm2231325-2def14a.htm DEF 14A TABLE OF CONTENTS As filed with the Securities and Exchange Commission on December 5, 2022 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, f |
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| November 25, 2022 |
TABLE OF CONTENTS As filed with the Securities and Exchange Commission on November 25, 2022 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| November 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORT |
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| November 9, 2022 |
Exhibit 32.1 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the quarterly report of Northwest Biotherapeutics, Inc. (the “Company”) on Form 10-Q for the quarter ended September 30, 2022, as filed with the Securities and Exchange Commission (the “Report”), I, Linda F. Powers, certify, pursuant to 18 U.S.C. Se |
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| November 9, 2022 |
Exhibit 31.1 CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Linda F. Powers, certify that: (1) I have reviewed this quarterly report on Form 10-Q of Northwest Biotherapeutics, Inc.; (2) Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circum |
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| October 24, 2022 |
Northwest Biotherapeutics, Inc. 4800 Montgomery Lane, Suite 800 Bethesda, MD 20814 Northwest Biotherapeutics, Inc. 4800 Montgomery Lane, Suite 800 Bethesda, MD 20814 October 24, 2022 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Attention: Daniel Crawford Re: Request for Acceleration of Effectiveness of Registration Statement on Form S-3 (File No. 333-267933) Dear Mr. Crawford: Northwest Biother |
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| October 21, 2022 |
Northwest Biotherapeutics, Inc. 4800 Montgomery Lane, Suite 800 Bethesda, MD 20814 Northwest Biotherapeutics, Inc. 4800 Montgomery Lane, Suite 800 Bethesda, MD 20814 October 21, 2022 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Attention: Daniel Crawford Re: Request for Acceleration of Effectiveness of Registration Statement on Form S-3 (File No. 333-267933) Dear Mr. Crawford: Northwest Biother |
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| October 18, 2022 |
EXHIBIT 4.6 NORTHWEST BIOTHERAPEUTICS, INC. AND , TRUSTEE INDENTURE DATED AS OF , 2022 SENIOR DEBT SECURITIES NORTHWEST BIOTHERAPEUTICS, INC. RECONCILIATION AND TIE BETWEEN TRUST INDENTURE ACT OF 1939 AND INDENTURE, DATED AS OF , 2022 Section of Trust Indenture Act of 1939 Section(s) of Indenture § 310(a)(1) 609 (a)(2) 609 (a)(3) Not Applicable (a)(4) Not Applicable (a)(5) 609 (b) 608, 610 § 311(a |
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| October 18, 2022 |
Form of Subordinated Indenture. Exhibit 4.7 NORTHWEST BIOTHERAPEUTICS, INC. AND , TRUSTEE INDENTURE DATED AS OF , 2022 SUBORDINATED DEBT SECURITIES NORTHWEST BIOTHERAPEUTICS, INC. RECONCILIATION AND TIE BETWEEN TRUST INDENTURE ACT OF 1939 AND INDENTURE, DATED AS OF , 2022 Section of Trust Indenture Act of 1939 Section(s) of Indenture § 310(a)(1) 609 (a)(2) 609 (a)(3) Not Applicable (a)(4) Not Applicable (a)(5) 609 (b) 608, 610 § |
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| October 18, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) NORTHWEST BIOTHERAPEUTICS, INC. |
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| October 18, 2022 |
As filed with the U.S. Securities and Exchange Commission on October 18, 2022 As filed with the U.S. Securities and Exchange Commission on October 18, 2022 Registration No. 333 - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 NORTHWEST BIOTHERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 94- |
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| August 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 26, 2022 |
Exhibit 3.2 CERTIFICATE OF DESIGNATIONS OF SERIES C CONVERTIBLE PREFERRED STOCK OF NORTHWEST BIOTHERAPEUTICS, INC. Northwest Biotherapeutics, Inc. (the ?Company?), a corporation formed and existing under the Delaware General Corporation Law (the ?DGCL?), does hereby determine and certify that, pursuant to Section 151 of the DGCL and authority conferred upon its Board of Directors (the ?Board of Di |
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| July 26, 2022 |
Exhibit 3.1 CERTIFICATE OF ELIMINATION OF THE SERIES A CONVERTIBLE PREFERRED STOCK AND SERIES B CONVERTIBLE PREFERRED STOCK OF NORTHWEST BIOTHERAPEUTICS, INC. (Pursuant to Section 151(g) of the General Corporation Law of the State of Delaware) Northwest Biotherapeutics, Inc., a corporation organized and existing under the General Corporation Law of the State of Delaware (the ?Corporation?), does h |
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| July 26, 2022 |
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): July 20, 2022 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employer |
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| June 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 2) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWES |
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| May 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWES |
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| May 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWES |
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| March 1, 2022 |
Exhibit 10.87 ? SUB-LEASE AGREEMENT ? This Sub-lease Agreement (?Agreement?) is made and entered into effective as of December 31, 2021 (the ?Effective Date?), by and between Aracaris Ltd. (?Aracaris?), a United Kingdom (U.K.) company and Northwest Biotherapeutics, Inc. (?NWBio?), a U.S. Delaware company (Aracaris and NWBio, collectively, the ?Sub-Lessor?), and Advent BioServices, Ltd. (the ?Sub-L |
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| March 1, 2022 |
Exhibit 10.86 CO M M E R C I A L LO A N AG R E E M E N T ? THIS COMMERCIAL LOAN AGREEMENT (this ?Loan Agreement?), dated as of November 22, 2021, is entered into by and between NORTHWEST BIOTHERAPEUTICS, INC., a Delaware corporation (?Borrower?), and STREETERVILLE CAPITAL, LLC, a Utah limited liability company, its successors and/or assigns (?Lender?). ? A.Lender desires to loan and Borrower desir |
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| March 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K Table of Contents ? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 29, 2021 |
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): November 22, 2021 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Empl |
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| November 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORT |
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| August 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 24, 2021 |
Submission of Matters to a Vote of Security Holders 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): May 18, 2021 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employer |
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| May 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| April 16, 2021 |
TABLE OF CONTENTS As filed with the Securities and Exchange Commission on April 16, 2021 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 31, 2021 |
Agreement to acquire Flaskworks, L.L.C, August 28, 2020. ? Exhibit 10.83 ? Execution Version ? UNIT PURCHASE AGREEMENT ? UNIT PURCHASE AGREEMENT, dated as of August 28, 2020 (this ?Agreement?), among Northwest Biotherapeutics, Inc., a Delaware corporation (the ?Buyer?), Flaskworks, LLC, a Massachusetts limited liability company (?Flaskworks?), and each of the other Persons (as hereinafter defined) set forth on the signature pages hereto (each, a ?Seller |
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| March 31, 2021 |
Exhibit 10.85 ? COMMERCIAL LOAN AGREEMENT ? THIS COMMERCIAL LOAN AGREEMENT (this ?Loan Agreement?), dated as of March 1, 2021, is entered into by and between NORTHWEST BIOTHERAPEUTICS, INC., a Delaware corporation (?Borrower?), and STREETERVILLE CAPITAL, LLC, a Utah limited liability company, its successors and/or assigns (?Lender?). ? A. Lender desires to loan and Borrower desires to borrow, upon |
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| March 31, 2021 |
Equity Compensation Plan, dated May 29, 2020. ? Exhibit 10.81 ? NORTHWEST BIOTHERAPEUTICS, INC. ? 2020 EQUITY COMPENSATION PLAN ? 1. GENERAL. ? (a) Eligible Award Recipients. The persons eligible to receive Awards are Employees, Directors and Consultants inside and outside of the United States. ? (b) Available Securites. The Plan provides for the grant of any type of equity security, equity-linked security or equity security equivalent, inclu |
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| March 31, 2021 |
Subsidiaries of the Registrant. ? EXHIBIT 21.1 ? Subsidiaries of the Registrant ? Name: Jurisdiction Aracaris, Ltd. United Kingdom Aracaris Capital, Ltd. United Kingdom NW Bio Gmbh Germany Northwest Biotherapeutics B.V. Netherlands ? ? ? Flaskworks LLC United States ? |
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| March 31, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| March 31, 2021 |
? Exhibit 4.1 ? DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 ? The following description of the common stock of Northwest Biotherapeutics, Inc. (the ?Corporation,? ?us,? ?our? or ?we?) does not purport to be complete and is subject to, and qualified in its entirety by, our certificate of incorporation, as amended (?certificate? |
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| March 31, 2021 |
Exhibit 10.82 ? NOTE PURCHASE AGREEMENT ? THIS NOTE PURCHASE AGREEMENT (this "Agreement"), dated as of August 14, 2020, is entered into by and between NORTHWEST BIOTHERAPEUTICS, INC., a Delaware corporation ("Company"), and ILIAD RESEARCH AND TRADING, L.P., a Utah limited partnership, its successors and/or assigns ("Investor"). ? A. Investor desires to purchase and Company desires to issue and sel |
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| March 5, 2021 |
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): March 1, 2021 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employer |
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| January 26, 2021 |
Exhibit 16.1 January 25, 2021 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by Northwest Biotherapeutics, Inc. under Item 4.01 of its Form 8-K dated January 21, 2021. We agree with the statements concerning our Firm in such Form 8-K; we are not in a position to agree or disagree with other statements of Northwest Biothera |
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| January 26, 2021 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant - FORM 8-K 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 20, 2021 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Emplo |
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| January 15, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORT |
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| November 10, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-35737 CUSIP NUMBER NOTIFICATION OF LATE FILING 66737P600 (Check one): ¨ Form 10-K ¨ Form 20-F ¨ Form 11-K x Form 10-Q ¨ Form 10-D ¨ Form N-CEN ¨ Form N-CSR For Period Ended: September 30, 2020 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition Report on Form 11-K ¨ Tr |
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| November 2, 2020 |
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): November 2, 2020 (October 31, 2020) Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Co |
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| October 13, 2020 |
12,224,963 Shares of Common Stock PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To the Prospectus dated October 18, 2019) Registration No. |
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| September 15, 2020 |
Submission of Matters to a Vote of Security Holders - FORM 8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): April 18, 2020 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Com |
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| September 1, 2020 |
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 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Empl |
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| September 1, 2020 |
Exhibit 99.1 4800 Montgomery Lane Suite 800 Bethesda, MD 20814 t (240) 497-9024 f (240) 627-4121 www.nwbio.com OTCQB: NWBO For immediate release on Tuesday, September 1, 2020 Northwest Biotherapeutics Acquires Flaskworks Breakthrough Automation Technology For Cell Therapy Products To Enable Scale-Up of Production Volumes and Reduction of Production Costs BETHESDA, Md., September 1, 2020 - Northwes |
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| August 20, 2020 |
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): August 14, 2020 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employ |
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| August 10, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWEST |
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| August 7, 2020 |
21,750,669 Shares of Common Stock 424B5 1 tm2026961d1424b5.htm 424B5 PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To the Prospectus dated October 18, 2019) Registration No. 333-234248 21,750,669 Shares of Common Stock On August 5, 2020, the Company entered into financings totaling $7,960,214 pursuant to this prospectus supplement (the “Offering”). The financings were comprised of: · $6,960,214 from an offering at $0.32 |
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| June 26, 2020 |
5,834,350 Shares of Common Stock PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To the Prospectus dated October 18, 2019) Registration No. |
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| June 24, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWEST BIOTHERAPEUTICS, |
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| June 24, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWEST BIOTHERAPEUTICS, |
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| June 12, 2020 |
9,361,421 Shares of Common Stock PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To the Prospectus dated October 18, 2019) Registration No. |
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| June 8, 2020 |
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): June 2, 2020 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employer |
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| June 4, 2020 |
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): May 29, 2020 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employer |
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| May 29, 2020 |
15,695,182 Shares of Common Stock PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To the Prospectus dated October 18, 2019) Registration No. |
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| May 27, 2020 |
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): May 20, 2020 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employer |
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| May 20, 2020 |
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): May 20, 2020 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employe |
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| May 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-35737 CUSIP NUMBER NOTIFICATION OF LATE FILING 66737P600 (Check one): ¨ Form 10-K ¨ Form 20-F ¨ Form 11-K x Form 10-Q ¨ Form 10-D ¨ Form N-CEN ¨ Form N-CSR For Period Ended: March 31, 2020 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition Report on Form 11-K ¨ Transi |
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| April 23, 2020 |
Submission of Matters to a Vote of Security Holders 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): April 18, 2020 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employe |
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| April 9, 2020 |
19,947,032 Shares of Common Stock PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To the Prospectus dated October 18, 2019) Registration No. |
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| April 1, 2020 |
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): March 26, 2020 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employe |
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| March 27, 2020 |
NWBO / Northwest Biotherapeutics, Inc. DEF 14A - - FORM DEF 14A DEF 14A 1 tm2013863-1def14a.htm FORM DEF 14A TABLE OF CONTENTS As filed with the Securities and Exchange Commission on March 27, 2020 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate |
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| March 16, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWEST BIOTHERAPEUTICS, I |
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| March 16, 2020 |
Exhibit 4.1 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following description of the common stock of Northwest Biotherapeutics, Inc. (the “Corporation,” “us,” “our” or ”we”) does not purport to be complete and is subject to, and qualified in its entirety by, our certificate of incorporation, as amended (“certificate”), and |
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| March 16, 2020 |
Subsidiaries of the Registrant. EXHIBIT 21.1 Subsidiaries of the Registrant Name: Jurisdiction Aracaris, Ltd. United Kingdom Aracaris Capital, Ltd. United Kingdom NW Bio Gmbh Germany Northwest Biotherapeutics B.V. Netherlands |
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| February 24, 2020 |
25,799,918 Shares of Common Stock PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To the Prospectus dated October 18, 2019) Registration No. |
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| January 15, 2020 |
3,446,914 Shares of Common Stock PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To the Prospectus dated October 18, 2019) Registration No. |
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| January 3, 2020 |
12,475,253 Shares of Common Stock PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To the Prospectus dated October 18, 2019) Registration No. |
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| December 13, 2019 |
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): December 13, 2019 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction of incorporation or o |
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| November 12, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWEST BIOTHERAPEUT |
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| October 29, 2019 |
NWBO / Northwest Biotherapeutics, Inc. CORRESP - - October 29, 2019 Via Edgar Only United States Securities and Exchange Commission Mail Stop 6010 Washington, D. |
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| October 28, 2019 |
3,505,152 Shares of Common Stock PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To the Prospectus dated September 23, 2016) Registration No. |
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| October 18, 2019 |
10,442,726 Shares of Common Stock 424B5 1 tm1920518d1424b5.htm 424B5 PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To the Prospectus dated September 23, 2016) Registration No. 333-213777 10,442,726 Shares of Common Stock Pursuant to this prospectus supplement and the accompanying prospectus, Northwest Biotherapeutics, Inc. (the “Company,” “we” or “us”) is offering for sale, directly to selected investors, 10,442,726 shar |
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| October 18, 2019 |
Exhibit 4.6 NORTHWEST BIOTHERAPEUTICS, INC. AND , TRUSTEE INDENTURE DATED AS OF , 2019 DEBT SECURITIES NORTHWEST BIOTHERAPEUTICS, INC. RECONCILIATION AND TIE BETWEEN TRUST INDENTURE ACT OF 1939 AND INDENTURE, DATED AS OF , 2019 Section of Trust Indenture Act of 1939 Section(s) of Indenture § 310(a)(1) 609 (a)(2) 609 (a)(3) Not Applicable (a)(4) Not Applicable (a)(5) 609 (b) 608, 610 § 311(a) 613 ( |
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| October 18, 2019 |
NWBO / Northwest Biotherapeutics, Inc. S-3 - - FORM S-3 As filed with the U.S. Securities and Exchange Commission on October 18, 2019 Registration No. 333 - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 NORTHWEST BIOTHERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 94- |
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| August 9, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWEST BIOTHERAPEUTICS, |
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| July 22, 2019 |
Unregistered Sales of Equity Securities 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): July 16, 2019 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employer |
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| July 18, 2019 |
11,782,609 Shares of Common Stock PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To the Prospectus dated September 23, 2016) Registration No. |
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| July 17, 2019 |
11,782,609 Shares of Common Stock PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To the Prospectus dated September 23, 2016) Registration No. |
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| May 28, 2019 |
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): May 21, 2019 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employer |
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| May 10, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 OR ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWEST BIOTHERAPEUTICS, |
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| April 2, 2019 |
Exhibit 10.74 SETTLEMENT AND AMENDMENT AGREEMENT THIS SETTLEMENT AND AMENDMENT AGREEMENT (this “Agreement”) is made and entered into as of December 31, 2017 (the “Effective Date”), by and between Cognate BioServices, Inc., a Delaware corporation (“Cognate”) and Northwest Biotherapeutics, Inc., a Delaware corporation (“NWBio” and together with Cognate, the “Parties”). RECITALS WHEREAS, pursuant to |
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| April 2, 2019 |
Subsidiaries of the Registrant. EXHIBIT 21.1 Subsidiaries of the Registrant Name: Jurisdiction Aracaris, Ltd. United Kingdom Aracaris Capital, Ltd. United Kingdom NW Bio Gmbh Germany |
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| April 2, 2019 |
Exhibit 10.77 THE SECURITIES OFFERED HEREBY HAVE NOT BEEN AND WILL NOT BE REGISTERED WITH THE UNITED STATES SECURITIES AND EXCHANGE COMMISSION, OR THE SECURITIES COMMISSION OF ANY STATE PURSUANT TO AN EXEMPTION FROM REGISTRATION PROVIDED BY SECTION 3(b) OF THE SECURITIES ACT OF 1933, AS AMENDED, AND THE RULES AND REGULATIONS PROMULGATED THEREUNDER (THE “1933 ACT) US $1,388,888.89 NORTHWEST BIOTHER |
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| April 2, 2019 |
Exhibit 10.78 FORM OF UNSECURED PROMISSORY NOTE AGREEMENT PLUS WARRANT NOVEMBER 7, 2018 US $ NORTHWEST BIOTHERAPEUTICS, INC 10% NON-RECOURSE REDEEMABLE NOTE DUE NOVEMBER 7, 2019 FOR VALUE RECEIVED, Northwest Biotherapeutics, Inc. (the “Company”) promises to pay to the order of and his authorized successors and permitted assigns (“Holder”), the aggregate principal face amount of Dollars (U.S. $ ) o |
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| April 2, 2019 |
Exhibit 10.75 LOAN AGREEMENT and PROMISSORY NOTE US $4,000,000 March 14, 2018 SECTION 1. GENERAL. Linda F. Powers (the “Holder”) has granted to Northwest Biotherapeutics, Inc., a Delaware company (the “Maker”) a loan in the principal amount of Four Million Dollars (US $4,000,000) (the “Loan”) on the terms and conditions set forth in this Loan Agreement and Promissory Note (the “Note”). The Loan wi |
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| April 2, 2019 |
Exhibit 10.73 SETTLEMENT AND AMENDMENT AGREEMENT THIS SETTLEMENT AND AMENDMENT AGREEMENT (this “Agreement”) is made and entered into as of December 31, 2017 (the “Effective Date”), by and between Cognate BioServices, Inc., a Delaware corporation (“Cognate”) and Northwest Biotherapeutics, Inc., a Delaware corporation (“NWBio” and together with Cognate, the “Parties”). RECITALS WHEREAS, pursuant to |
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| April 2, 2019 |
Exhibit 10.80 LEASE RELATING TO VISION CENTRE, SAWSTON, CAMBRIDGE Dated: 14 December 2018 Between ARACARIS CAPITAL LIMITED and ARACARIS LIMITED CMS Cameron McKenna Nabarro Olswang LLP Cannon Place 78 Cannon Street London EC4N 6AF T +44 20 7367 3000 F +44 20 7367 2000 cms.law TABLE OF CONTENTS 1. Definitions 1 2. Interpretation 6 3. Grant and Term 7 4. Rights Granted 8 5. Exceptions and Reservation |
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| April 2, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWEST BIOTHERAPEUTICS, I |
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| April 2, 2019 |
Exhibit 10.79 Contract treated as exchanged 1:15 pm Law Society Formula. Ref: on behalf of the Buyer DATE: 5th December 2018 CONTRACT RELATING TO SALE OF SPICERS, SAWSTON, CAMBRIDGE Between ARACARIS CAPITAL LIMITED and HUAWEI TECHNOLOGIES RESEARCH & DEVELOPMENT (UK) LIMITED Annexure 1: Electronic Data Rooms document list. Annexure 2: Agreed form of transfer. Annexure 3: Agreed form of Lease. CMS C |
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| April 2, 2019 |
Exhibit 10.76 LOAN AGREEMENT and PROMISSORY NOTE US $400,000 March 19, 2018 SECTION 1. GENERAL. Linda F. Powers (the “Holder”) has granted to Northwest Biotherapeutics, Inc., a Delaware company (the “Maker”) a loan in the principal amount of Four Hundred Thousand Dollars (US $400,000) (the “Loan”) on the terms and conditions set forth in this Loan Agreement and Promissory Note (the “Note”). The Lo |
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| March 19, 2019 |
NWBO / Northwest Biotherapeutics, Inc. NT 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-35737 CUSIP NUMBER NOTIFICATION OF LATE FILING 66737P600 (Check one): x Form 10-K ¨ Form 20-F ¨ Form 11-K ¨ Form 10-Q ¨ Form 10-D ¨ Form N-SAR ¨ Form N-CSR For Period Ended: December 31, 2018 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition Report on Form 11-K ¨ Tra |
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| February 14, 2019 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Final Amendment (Amendment No. |
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| February 14, 2019 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Final Amendment (Amendment No. |
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| February 7, 2019 |
Submission of Matters to a Vote of Security Holders 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 2, 2019 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Emplo |
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| January 7, 2019 |
NWBO / Northwest Biotherapeutics, Inc. DEFINITIVE PROXY STATEMENT DEF 14A 1 tv510447-def14a.htm DEFINITIVE PROXY STATEMENT TABLE OF CONTENTS As filed with the Securities and Exchange Commission on January 8, 2019 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check th |
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| December 20, 2018 |
Completion of Acquisition or Disposition of Assets 8-K 1 tv5096368-k.htm FORM 8-K 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): December 14, 2018 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35737 94-3306718 (State or other j |
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| December 11, 2018 |
NW Bio Announces Non-Dilutive Funding of Approximately $47.3 Million Exhibit 99.1 NW Bio Announces Non-Dilutive Funding of Approximately $47.3 Million Through UK Property Transaction BETHESDA, Md., December 11, 2018 - Northwest Biotherapeutics (OTCQB: NWBO) - (“NW Bio”), a biotechnology company developing DCVax® personalized immune therapies for solid tumor cancers, announced today that it has entered into agreements with a large multi-national corporation for a pa |
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| December 11, 2018 |
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): December 5, 2018 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35737 94-3306718 (State or other jurisdiction (Commission (IRS Emp |
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| November 28, 2018 |
8-K 1 tv5080698k.htm FORM 8-K 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): November 28, 2018 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorpo |
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| November 23, 2018 |
8-K 1 tv5078058-k.htm FORM 8-K 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): November 18, 2018 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorp |
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| November 16, 2018 |
NWBO / Northwest Biotherapeutics, Inc. FORM 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 OR ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWEST BIOTHERAPEUT |
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| November 15, 2018 |
NWBO / Northwest Biotherapeutics, Inc. NT 10-Q NT 10-Q 1 tv507345nt10q.htm NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-35737 CUSIP NUMBER NOTIFICATION OF LATE FILING 66737P600 ¨ Form 10-K ¨ Form 20-F ¨ Form 11-K x Form 10-Q ¨ Form 10-D ¨ Form N-SAR ¨ Form N-CSR For Period Ended: September 30, 2018 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition R |
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| November 13, 2018 |
Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities 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): November 7, 2018 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-35737 (Commission Fil |
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| September 13, 2018 |
Material Modification to Rights of Security Holders, Unregistered Sales of Equity Securities 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 7, 2018 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-35737 (Commission Fi |
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| August 14, 2018 |
NWBO / Northwest Biotherapeutics, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 OR ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWEST BIOTHERAPEUTICS, |
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| June 28, 2018 |
Financial Statements and Exhibits, Other Events 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): June 22, 2018 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-35737 (Commission File N |
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| June 28, 2018 |
Form of Class D-3 Common Stock Purchase Warrant. Exhibit 10.2 FORM OF COMMON STOCK PURCHASE WARRANT CLASS D-3 NORTHWEST BIOTHERAPEUTICS, INC. Warrant Shares: Initial Exercise Date: , 2018 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the dat |
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| June 28, 2018 |
Exhibit 10.1 NORTHWEST BIOTHERAPEUTICS, INC. FORM OF SECURITIES PURCHASE AGREEMENT |
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| June 28, 2018 |
4,000,000 Shares of Common Stock Class D-3 Warrants to Purchase 2,000,000 Shares of Common Stock PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To the Prospectus dated September 23, 2016) Registration No. |
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| June 18, 2018 |
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): June 12, 2018 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-35737 (Commission File N |
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| June 1, 2018 |
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): May 28, 2018 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-35737 (Commission File Nu |
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| May 31, 2018 |
Unregistered Sales of Equity Securities 8-K 1 tv4955418k.htm FORM 8-K 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): May 24, 2018 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporatio |
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| May 21, 2018 |
Unregistered Sales of Equity Securities 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): May 15, 2018 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction of incorporation) (Commiss |
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| May 16, 2018 |
NWBO / Northwest Biotherapeutics, Inc. FORM 10-Q (Quarterly Report) 10-Q 1 tv49400810q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 OR ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001 |
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| May 16, 2018 |
NWBO / Northwest Biotherapeutics, Inc. NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-35737 CUSIP NUMBER NOTIFICATION OF LATE FILING 66737P600 ¨ Form 10-K ¨ Form 20-F ¨ Form 11-K x Form 10-Q ¨ Form 10-D ¨ Form N-SAR ¨ Form N-CSR For Period Ended: March 31, 2018 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition Report on Form 11-K ¨ Transition Report o |
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| May 7, 2018 |
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): May 1, 2018 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-35737 (Commission File Num |
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| May 2, 2018 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE SEVENTH AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF NORTHWEST BIOTHERAPEUTICS, |
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| May 2, 2018 |
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): April 26, 2018 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-35737 (Commission File |
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| April 17, 2018 |
Subsidiaries of the Registrant EXHIBIT 21.1 Subsidiaries of the Registrant Name: Jurisdiction Aracaris, Ltd. United Kingdom Aracaris Capital, Ltd. United Kingdom NW Bio Gmbh Germany NW Bio Europe S.A.R.L. Switzerland (closed June 2015) |
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| April 17, 2018 |
Sawston Lease, dated October 10, 2017. Exhibit 10.69 CMS Law.Tax DATE: 10 October 2017 LEASE RELATING TO CDC WAREHOUSE, SAWSTON, CAMBRIDGE Between ARACARIS CAPITAL LIMITED and ROUTEBUY LIMITED and COMMODITY CENTRE (GROUP) LIMITED CMS Cameron McKenna Nabarro Olswang LLP Cannon Place 78 Cannon Street London EC4N 6AF T +44 20 7367 3000 F +44 20 7367 2000 cms.law TABLE OF CONTENTS 1. Definitions 1 2. Interpretation 6 3. Grant and Term 7 4. |
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| April 17, 2018 |
NWBO / Northwest Biotherapeutics, Inc. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWEST BIOTHERAPEUTICS, INC. (Exact n |
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| April 12, 2018 |
NWBO / Northwest Biotherapeutics, Inc. DEFR14A TABLE OF CONTENTS As filed with the Securities and Exchange Commission on April 12, 2018 SCHEDULE 14A Amendment No. |
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| April 9, 2018 |
NWBO / Northwest Biotherapeutics, Inc. DEFINITIVE PROXY STATEMENT TABLE OF CONTENTS As filed with the Securities and Exchange Commission on April 9, 2018 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☑ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant to §240. |
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| April 4, 2018 |
NWBO / Northwest Biotherapeutics, Inc. PRELIMINARY PROXY STATEMENT PRER14A 1 tv490287-prer14a.htm PRELIMINARY PROXY STATEMENT TABLE OF CONTENTS As filed with the Securities and Exchange Commission on April 4, 2018 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant ☑ Filed by a Party other than the Reg |
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| April 4, 2018 |
NWBO / Northwest Biotherapeutics, Inc. CORRESP April 4, 2018 VIA EDGAR Dorrie Yale and Mary Beth Breslin Office of Healthcare & Insurance Division of Corporation Finance U. |
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| April 3, 2018 |
NWBO / Northwest Biotherapeutics, Inc. NT 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-35737 CUSIP NUMBER NOTIFICATION OF LATE FILING 66737P600 x Form 10-K ¨ Form 20-F ¨ Form 11-K ¨ Form 10-Q ¨ Form 10-D ¨ Form N-SAR ¨ Form N-CSR For Period Ended: December 31, 2017 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition Report on Form 11-K ¨ Transition Repor |
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| March 26, 2018 |
Series A Convertible Preferred Stock Class D-1 Warrants to Purchase Shares of Common Stock Supplement No. 1 dated March 26, 2018 to the Prospectus Supplement dated December 4, 2017 Filed Pursuant to Rule 424(b)(5) Registration No. 333-213777 (To the Prospectus dated September 23, 2016) Series A Convertible Preferred Stock Class D-1 Warrants to Purchase Shares of Common Stock This prospectus supplement (the “Supplement”) supplements information contained in that certain prospectus supple |
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| March 26, 2018 |
NWBO / Northwest Biotherapeutics, Inc. PRELIMINARY PROXY STATEMENT TABLE OF CONTENTS As filed with the Securities and Exchange Commission on March 26, 2018 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☑ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant to §240. |
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| March 22, 2018 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): March 22, 2018 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction of incorporation) (Commi |
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| March 22, 2018 |
(Twenty Five Million, One Hundred and Seventy Thousand Pounds) Exhibit 99.1 19th December 2017 T +44 (0)20 7198 2000 F +44 (0)20 7198 2001 Private & Confidential www.lsh.co.uk Lambert Smith Hampton Dennis Mehiel Esq United Kingdom House Four M Purchasers LLC 180 Oxford Street 7 Renaissance Square, 5th Floor London White Plains W1D 1NN NY 10601 Our Ref: LWVAL/SJ/MAF Dear Sir Client: Dennis Mehiel of Four M Purcharers LLC. Request: A valuation report in respect |
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| March 20, 2018 |
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): March 14, 2018 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-35737 (Commission File |
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| March 15, 2018 |
Unregistered Sales of Equity Securities 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): March 9, 2018 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-35737 (Commission File N |
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| March 7, 2018 |
Unregistered Sales of Equity Securities 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): December 28, 2017 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction of incorporation) (Co |
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| March 2, 2018 |
8-K 1 tv4876388k.htm FORM 8-K 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 26, 2018 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorpo |
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| February 21, 2018 |
Unregistered Sales of Equity Securities 8-K 1 tv4847618k.htm FORM 8-K 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 15, 2018 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other juri |
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| February 13, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Northwest Biotherapeutics, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 6673P600 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to design |
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| February 13, 2018 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 13, 2018 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 9, 2018 |
NWBO / Northwest Biotherapeutics, Inc. / CVI Investments, Inc. - SC 13G/A Passive Investment CUSIP No: 66737P600 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. 2)* Northwest Biotherapeutics, Inc. (Name of Issuer) Common Stock, $.001 par value per share (Title of Class of Securities) 66737P600 (CUS |
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| January 25, 2018 |
Submission of Matters to a Vote of Security Holders 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 21, 2018 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35737 94-3306718 (State or other jurisdiction (Commission (IRS Emp |
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| January 16, 2018 |
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 16, 2018 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35737 94-3306718 (State or other jurisdiction (Commission (IRS Emp |
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| January 9, 2018 |
NWBO / Northwest Biotherapeutics, Inc. DEF 14A TABLE OF CONTENTS As filed with the Securities and Exchange Commission on January 9, 2018 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☑ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant to §240. |
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| January 5, 2018 |
Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities 8-K 1 tv4828168k.htm FORM 8-K 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): December 31, 2017 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35737 94-3306718 (State or other ju |
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| January 4, 2018 |
Exhibit 3.1 CERTIFICATE OF DESIGNATIONS OF SERIES B CONVERTIBLE PREFERRED STOCK OF NORTHWEST BIOTHERAPEUTICS, INC. Northwest Biotherapeutics, Inc. (the ?Company?), a corporation formed and existing under the Delaware General Corporation Law (the ?DGCL?), does hereby determine and certify that, pursuant to Section 151 of the DGCL and authority conferred upon its Board of Directors (the ?Board of Di |
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| January 4, 2018 |
8-K 1 tv4826658k.htm 8-K 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): December 29, 2017 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdict |
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| January 4, 2018 |
Form of Subscription Agreement. Exhibit 10.3 NORTHWEST BIOTHERAPEUTICS, INC. SUBSCRIPTION AGREEMENT THIS SUBSCRIPTION AGREEMENT (this ?Agreement?), is made as of , 2017, by and among Northwest Biotherapeutics, Inc., a Delaware corporation (the ?Company?), and , the purchaser identified on the signature pages hereto (the ?Purchaser?). WHEREAS, the Company has determined to engage in an offering pursuant to Regulation D as promulg |
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| January 4, 2018 |
Exhibit 10.2 VOTING AGREEMENT This Voting Agreement (the ?Agreement?) is effective as of a , 2017, and is by and between Northwest Biotherapeutics, Inc., a Delaware corporation (the ?Company?) and , a (the ?Investor?). RECITALS WHEREAS, the Company has established a class of Series B Preferred Stock (the ?Series B Preferred?) and the terms and conditions of such Series B Preferred are set forth in |
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| January 4, 2018 |
Form of Class D-2 Common Stock Purchase Warrant. Exhibit 10.1 THIS WARRANT AND THE UNDERLYING SECURITIES HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?). THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT AS TO SUCH SECURITIES UNDER THE ACT OR UNLESS SUCH TRANSACTION IS IN COMPLIANCE WITH APPLICABLE FEDERAL AND STATE SECURITIES LAWS. NORTHWEST BI |
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| December 21, 2017 |
Exhibit 99.1 4800 Montgomery Lane Suite 800 Bethesda, MD 20814 t (240) 497-9024 f (240) 627-4121 www.nwbio.com NASDAQ: NWBO NW Bio Announces Regulation D Offering for Accredited Investors Financing Responds to Shareholder Requests Following Recent Series A Preferred Stock Financing BETHESDA, Md., December 19, 2017 - Northwest Biotherapeutics (OTCQB: NWBO) - (NW Bio), a biotechnology company develo |
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| December 21, 2017 |
Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF DESIGNATIONS OF SERIES A CONVERTIBLE PREFERRED STOCK OF NORTHWEST BIOTHERAPEUTICS, INC. Northwest Biotherapeutics, Inc. (the ?Company?), a corporation formed and existing under the Delaware General Corporation Law (the ?DGCL?), in accordance with the provisions of Section 103(f) of the DGCL does hereby amend and restate the Certificate of Designation |
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| December 21, 2017 |
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): December 15, 2017 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-35737 (Commission Fi |
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| December 7, 2017 |
Exhibit 10.1 NORTHWEST BIOTHERAPEUTICS, INC. CLASS D-1 WARRANTS No. WD1- , 2017 This Certifies That, for value received, or its assigns (the ?Holder?), is entitled to subscribe for and purchase from Northwest Biotherapeutics, Inc., a Delaware corporation, with its principal office in Bethesda, Maryland (the ?Company?), such number of Exercise Shares as provided herein at the Exercise Price as prov |
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| December 7, 2017 |
NW Bio Announces Completion of $12 Million Financing Majority of Financing from New Investors Exhibit 99.1 4800 Montgomery Lane Suite 800 Bethesda, MD 20814 t (240) 497-9024 f (240) 627-4121 www.nwbio.com OTCQB: NWBO For immediate release on Monday, December 4, 2017 NW Bio Announces Completion of $12 Million Financing Majority of Financing from New Investors BETHESDA, Md., December 4, 2017 - Northwest Biotherapeutics (OTCQB: NWBO) (NWBio), a biotechnology company developing DCVax? personal |
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| December 7, 2017 |
EX-10.2 4 tv480895ex10-2.htm EXHIBIT 10.2 Exhibit 10.2 VOTING AGREEMENT This Voting Agreement (the “Agreement”) is effective as of a , 2017, and is by and between Northwest Biotherapeutics, Inc., a Delaware corporation (the “Company”) and , a (the “Investor”). RECITALS WHEREAS, the Company has established a class of Series A Preferred Stock (the “Series A Preferred”) and the terms and conditions o |
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| December 7, 2017 |
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): December 1, 2017 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35737 94-3306718 (State or other jurisdiction (Commission (IRS Emp |
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| December 7, 2017 |
Exhibit 10.3 NORTHWEST BIOTHERAPEUTICS, INC. SUBSCRIPTION AGREEMENT THIS SUBSCRIPTION AGREEMENT (this ?Agreement?), is made as of , 2017, by and among Northwest Biotherapeutics, Inc., a Delaware corporation (the ?Company?), and , the purchaser identified on the signature pages hereto (the ?Purchaser?). WHEREAS, subject to the terms and conditions set forth in this Agreement and pursuant to an effe |
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| December 7, 2017 |
Certificate of Designations of Series A Preferred Stock. Exhibit 3.1 CERTIFICATE OF DESIGNATIONS OF SERIES A CONVERTIBLE PREFERRED STOCK OF NORTHWEST BIOTHERAPEUTICS, INC. Northwest Biotherapeutics, Inc. (the ?Company?), a corporation formed and existing under the Delaware General Corporation Law (the ?DGCL?), does hereby determine and certify that, pursuant to Section 151 of the DGCL and authority conferred upon its Board of Directors (the ?Board of Di |
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| December 5, 2017 |
Series A Convertible Preferred Stock Class D-1 Warrants to Purchase Shares of Common Stock PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To the Prospectus dated September 23, 2016) Registration No. |
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| November 21, 2017 |
Exhibit 99.1 4800 Montgomery Lane Suite 800 Bethesda, MD 20814 t (240) 497-9024 f (240) 627-4121 www.nwbio.com NASDAQ: NWBO For immediate release on Monday, November 20, 2017 NW Bio Issues Notice Of Proposed Agreement Settling Derivative Lawsuit Notice Being Issued to Fulfill Settlement Agreement Condition BETHESDA, Md., November 20, 2017 – Northwest Biotherapeutics, Inc. (OTCQB: NWBO) (“NW Bio”), |
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| November 21, 2017 |
Financial Statements and Exhibits, Other Events 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): November 20, 2017 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-35737 (Commission Fi |
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| November 20, 2017 |
NWBO / Northwest Biotherapeutics, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 OR ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWEST BIOTHERAPEUT |
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| November 14, 2017 |
NWBO / Northwest Biotherapeutics, Inc. NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-35737 CUSIP NUMBER NOTIFICATION OF LATE FILING 66737P600 ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: September 30, 2017 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Repo |
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| October 24, 2017 |
2,941,176 Shares of Common Stock Class D Warrants to Purchase 1,470,588 Shares of Common Stock PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To the Prospectus dated September 23, 2016) Registration No. |
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| October 16, 2017 |
Entry into a Material Definitive Agreement 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): October 10, 2017 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-35737 (Commission Fil |
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| September 22, 2017 |
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 22, 2017 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-35737 (Commission F |
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| September 22, 2017 |
NW BIO Announces Registered Direct Offering Of $1.75 Million Exhibit 99.1 4800 Montgomery Lane Suite 800 Bethesda, MD 20814 t (240) 497-9024 f (240) 627-4121 www.nwbio.com NASDAQ: NWBO For immediate release at 8:00 a.m. on Wednesday, September 20, 2017 NW BIO Announces Registered Direct Offering Of $1.75 Million BETHESDA, Md., September 20, 2017 - Northwest Biotherapeutics (OTCQB: NWBO) (NW Bio), a biotechnology company developing DCVax? personalized immune |
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| September 22, 2017 |
Exhibit 10.3 September 19, 2017 STRICTLY CONFIDENTIAL Northwest Biotherapeutics, Inc. 4800 Montgomery Lane, Suite 800 Bethesda, MD 20814 Attn: Linda Powers, Chief Executive Officer Dear Ms. Powers: This letter agreement (this ?Agreement?) constitutes the agreement between Northwest Biotherapeutics, Inc. (the ?Company?) and Rodman & Renshaw, a unit of H.C. Wainwright & Co., LLC (?Rodman?) that duri |
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| September 22, 2017 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of September 20, 2017, between Northwest Biotherapeutics, Inc., a Delaware corporation (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively the ?Purchasers?). WHEREAS, subject to the terms an |
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| September 22, 2017 |
Exhibit 10.2 COMMON STOCK PURCHASE WARRANT northwest biotherapeutics, inc. Warrant Shares: Initial Exercise Date: September , 2017 THIS COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof |
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| September 22, 2017 |
Northwest Biotherapeutics 8-K (Current Report/Significant Event) 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 20, 2017 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Emp |
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| September 22, 2017 |
8,750,000 Shares of Common Stock Class A Warrants to Purchase 4,375,000 Shares of Common Stock PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To the Prospectus dated September 23, 2016) Registration No. |
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| September 11, 2017 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| September 11, 2017 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| August 21, 2017 |
NWBO / Northwest Biotherapeutics, Inc. FORM 10-Q (Quarterly Report) 10-Q 1 v47364010q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 OR ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-3 |
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| August 21, 2017 |
NORTHWEST BIOTHERAPEUTICS, INC. LOAN AGREEMENT and PROMISSORY NOTE Exhibit 10.1 NORTHWEST BIOTHERAPEUTICS, INC. LOAN AGREEMENT and PROMISSORY NOTE US $ April 19, 2017 SECTION 1. GENERAL. (the “Holder”) hereby grants to Northwest Biotherapeutics, Inc., a Delaware company (the “Maker” or the “Company”) a loan of Three Hundred Fifty Thousand Dollars (US $) (the “Principal Amount”) on the terms and conditions set forth in this Loan Agreement and Promissory Note (this |
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| August 15, 2017 |
Northwest Biotherapeutics NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-35737 CUSIP NUMBER NOTIFICATION OF LATE FILING 66737P600 ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: June 30, 2017 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Report on |
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| August 8, 2017 |
Unregistered Sales of Equity Securities 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): August 3, 2017 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employe |
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| August 7, 2017 |
Unregistered Sales of Equity Securities 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): August 1, 2017 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employe |
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| August 7, 2017 |
Supplement No. 1 dated August 7, 2017 to Prospectus Supplement dated March 22, 2017 Filed Pursuant to Rule 424(b)(5) Registration No. 333-213777 (To the Prospectus dated September 23, 2016) 18,843,692 Shares of Common Stock Class A Warrants to Purchase 21,632,769 Shares of Common Stock Class B Warrants to Purchase 21,632,769 Shares of Common Stock Class C Warrants to Purchase 10,000,000 Shares of |
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| August 7, 2017 |
Exhibit 10.1 August 7, 2017 [] [] [] [] Re: Reset Offer of Common Stock Purchase Warrants To Whom It May Concern: Northwest Biotherapeutics, Inc. (the ?Company?) is pleased to offer to you the opportunity to reprice the exercise of all of the Common Stock purchase warrants set forth on Annex I attached hereto (the ?Existing Warrants?) currently held by you (?Holder?). The Existing Warrants and the |
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| August 7, 2017 |
Exhibit 10.2 EXHIBIT A COMMON STOCK PURCHASE WARRANT northwest biotherapeutics, inc. Warrant Shares: Initial Exercise Date: August , 2017 THIS COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date |
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| August 7, 2017 |
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): August 7, 2017 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employe |
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| July 26, 2017 |
Unregistered Sales of Equity Securities 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): July 20, 2017 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employer |
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| July 21, 2017 |
Unregistered Sales of Equity Securities 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): July 17, 2017 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employer |
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| June 27, 2017 |
Exhibit 10.1 EXECUTION VERSION SECURITIES EXCHANGE AGREEMENT This Securities Exchange Agreement (this ?Agreement?) is dated as of June 21, 2017, between Northwest Biotherapeutics, Inc., a Delaware corporation (the ?Company?), and (?Holder?). WHEREAS, subject to the terms and conditions set forth in this Agreement and pursuant to Section 4(a)(2) of the Securities Act of 1933, as amended (the ?Secur |
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| June 27, 2017 |
8-K 1 v4697568k.htm FORM 8-K 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): June 21, 2017 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdict |
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| June 27, 2017 |
Exhibit 10.2 EXECUTION VERSION NOTE PURCHASE AGREEMENT This Note Purchase Agreement (this ?Agreement?) is dated as of June 21, 2017, between Northwest Biotherapeutics, Inc., a Delaware corporation (the ?Company?), and (?Investor?). WHEREAS, subject to the terms and conditions set forth in this Agreement and pursuant to Section 4(a)(2) of the Securities Act of 1933, as amended (the ?Securities Act? |
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| June 19, 2017 |
Northwest Biotherapeutics 8-K (Current Report/Significant Event) 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): June 13, 2017 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 0-35737 (C |
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| June 13, 2017 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): June 7, 2017 (June 13, 2017) Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organizat |
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| June 13, 2017 |
NORTHWEST BIOTHERAPEUTICS, INC. SECOND SUPPLEMENTAL INDENTURE Exhibit 10.1 EXECUTION VERSION NORTHWEST BIOTHERAPEUTICS, INC. SECOND SUPPLEMENTAL INDENTURE THIS SECOND SUPPLEMENTAL INDENTURE (this ?Second Supplemental Indenture?), dated and effective as of June 7, 2017, between Northwest Biotherapeutics, Inc. (the ?Company?) and The Bank of New York Mellon, a New York banking corporation, as trustee (the ?Trustee?). Capitalized terms used herein and not other |
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| May 31, 2017 |
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): May 31, 2017 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 0-35737 (Co |
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| May 31, 2017 |
Exhibit 10.1 SECURITIES EXCHANGE AGREEMENT This Securities Exchange Agreement (this “Agreement”) is dated as of May 31, 2017, between Northwest Biotherapeutics, Inc., a Delaware corporation (the “Company”), and each holder identified on the signature pages hereto (each, including its successors and assigns, a “Holder” and collectively the “Holders”). WHEREAS, subject to the terms and conditions se |
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| May 26, 2017 |
8-K 1 v4679168k.htm FORM 8-K 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): May 22, 2017 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdicti |
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| May 15, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 OR ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWEST BIOTHERAPEUTICS, |
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| April 25, 2017 |
Northwest Biotherapeutics 8-K (Current Report/Significant Event) 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): April 19, 2017 Northwest Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 0-35737 94-3306718 (State or other jurisdiction (Commission (IRS Employe |
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| April 17, 2017 |
PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To the Prospectus dated September 23, 2016) Registration No. |
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| April 17, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35737 NORTHWEST BIOTHERAPEUTICS, INC. (Exact n |
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| April 17, 2017 |
Subsidiaries of the Registrant EXHIBIT 21.1 Subsidiaries of the Registrant Name: Jurisdiction Aracaris, Ltd. United Kingdom Aracaris Capital, Ltd. United Kingdom NW Bio Gmbh Germany NW Bio Europe S.A.R.L. Switzerland (closed June 2015) |
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| April 7, 2017 |
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): April 7, 2017 NORTHWEST BIOTHERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35737 94-3306718 (State or other jurisdiction of incorporation or org |
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| April 5, 2017 |
Northwest Biotherapeutics 8-K (Current Report/Significant Event) 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): March 30, 2017 NORTHWEST BIOTHERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35737 94-3306718 (State or other jurisdiction of incorporation or or |
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| March 31, 2017 |
Northwest Biotherapeutics NT 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-35737 CUSIP NUMBER NOTIFICATION OF LATE FILING 66737P600 ? Form 10-K Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR ? For Period Ended: December 31, 2016 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Repor |
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| March 24, 2017 |
NWBO / Northwest Biotherapeutics, Inc. / INTRACOASTAL CAPITAL, LLC - SCHEDULE 13G Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Northwest Biotherapeutics, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 6673P600 (CUSIP Number) March 17, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box |
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| March 24, 2017 |
Schedule 13G Amendment No. 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Northwest Biotherapeutics, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 6673P600 (CUSIP Number) March 24, 2017 (Date of Event Which Requires Filing of this Statement) Check the |
