0001144204-17-003329.txt : 20170123 0001144204-17-003329.hdr.sgml : 20170123 20170123092222 ACCESSION NUMBER: 0001144204-17-003329 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170119 ITEM INFORMATION: Regulation FD Disclosure ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20170123 DATE AS OF CHANGE: 20170123 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NORTHWEST BIOTHERAPEUTICS INC CENTRAL INDEX KEY: 0001072379 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 943306718 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-35737 FILM NUMBER: 17539965 BUSINESS ADDRESS: STREET 1: 4800 MONTGOMERY LANE STREET 2: SUITE 800 CITY: BETHESDA STATE: MD ZIP: 20814 BUSINESS PHONE: (240) 497-9024 MAIL ADDRESS: STREET 1: 4800 MONTGOMERY LANE STREET 2: SUITE 800 CITY: BETHESDA STATE: MD ZIP: 20814 8-K 1 v457335_8k.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):             January 19, 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 organization)

 (Commission File Number)

(IRS Employer

Identification No.)

 

4800 Montgomery Lane, Suite 800

Bethesda, MD 20814

(Address of principal executive offices)

 

(204) 497-9024
(Registrant’s telephone number, including area code)

 

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:

 

¨Written communications pursuant to Rule 425 under the Securities Act

 

¨Soliciting material pursuant to Rule 14a-12 under the Exchange Act

 

¨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))

 

 

 

 

Item 7.01. Regulation FD Disclosure.

 

In response to a question received by Northwest Biotherapeutics, Inc. (the “Company”) from a shareholder relating to the status of the Company’s Phase III clinical trials, the Company provided the response set forth in Exhibit 99.1 hereto.

 

The information in this Item 7.01, including the exhibit attached hereto, is furnished solely pursuant to Item 7.01 of Form 8-K. Consequently, such information is not deemed "filed" for the purposes of Section 18 of the Securities Exchange Act of 1934, or otherwise subject to the liabilities of that section. Further, the information in this Item 7.01, including the exhibit, shall not be deemed to be incorporated by reference into the filings of the registrant under the Securities Act of 1933.

 

Item 9.01. Financial Statements and Exhibits.

 

(d)List of Exhibits

 

Exhibit No. Description
   
Exhibit 99.1 Response.

 

 

 

  

SIGNATURES

 

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 THEREUNTO DULY AUTHORIZED.

 

  NORTHWEST BIOTHERAPEUTICS, INC.
     
     
Date: January 23, 2017 By: /s/ Linda F. Powers
    Name: Linda F. Powers
    Title: Chief Executive Officer

  

 

  

 EX-99.1 2 v457335_ex99-1.htm EXHIBIT 99.1

 

EXHIBIT 99.1

 

Question from Shareholder:

 

1-19-17

 

Hi Les,

 

I have been a shareholder for the past year and eagerly awaiting the data for the Ph3 trials. 

 

In the Dec 8 press release, it is mentioned that there will be an update in two weeks. Can you please let me know if there is a tentative date by which we would get an update?

 

Thanks

 

 

Response from the Company:

 

Dear XXXXXXXXX,

 

The further trial update includes information which comes from the independent CRO and independent imaging company on a blinded basis. We received some but not all of this information before activity shut down for the holidays. Unfortunately, we were not able to wrap up right after the holidays as key management involved in the process was out with a major case of the flu for several weeks, from New Year’s until late last week. Our team is now getting back into operation. We will be working on the further trial update this week, and hope to be ready with an announcement soon.   

 

Thanks so much for your continued interest and concern.