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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934

 

Date of report (Date of earliest event reported): September 1, 2020

 

Northwest Biotherapeutics, Inc.

(Exact name of registrant as specified in its charter)

 

Delaware   0-35737   94-3306718
(State or other jurisdiction   (Commission   (IRS Employer
of incorporation)   File Number)   Identification No.)

 

4800 Montgomery Lane, Suite 800

Bethesda, Maryland 20814

(Address of Principal Executive Offices)

 

(240) 497-9024

(Registrant’s telephone number, including area code)

 

(Former Name or Former Address, if Changed Since Last Report)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Title of each class:   Trading Symbol(s)  

Name of each exchange on which

registered:

Common Stock, par value, $0.001 per share   NWBO   OTCQB

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 

Emerging Growth Company ¨

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨

 

 

 

 

 

 

Item 1.01 Entry into a Material Definitive Agreement.

 

On September 1, 2020, Northwest Biotherapeutics, Inc. issued a press release announcing the acquisition of Flaskworks, LLC. A copy of the press release is attached to this report as Exhibit 99.1 and is incorporated into this Item 1.01 by reference. 

 

Item 2.01. Completion of Acquisition or Disposition of Assets.

 

The information set forth in the press release attached to this report as Exhibit 99.1 is incorporated into this Item 2.01 by reference.

 

Item 7.01.

 

The information set forth in the press release attached to this report as Exhibit 99.1 is incorporated into this Item 7.01 by reference.

 

Item 9.01. Financial Statements and Exhibits.

 

(a) Financial Statements of Businesses Acquired.

 

To the extent financial statements are required by this item, they will be filed by amendment as soon as practicable, and in any event within 71 days hereafter. 

 

(b) Pro Forma Financial Information.

 

To the extent that pro forma financial information is required by this item, it will be filed as soon as practicable, and in any event within 71 days hereafter. 

 

(d) Exhibits.

 

Exhibit No. Description
   
99.1 Press Release dated September 1, 2020.

 

 

 

 

SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

  NORTHWEST BIOTHERAPEUTICS, INC.
     
     
Date: September 1, 2020 By: /s/ Linda Powers  
  Name: Linda Powers
  Title: Chief Executive Officer and Chairman

 

 

 

 

 

 

 

 

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