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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): 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
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 June 4, 2024, Northwest Biotherapeutics, Inc. (the “Company”) entered into a Stock Purchase Agreement (SPA) with SIO Capital Management LLC, for SIO's purchase of eight million, one hundred twenty-five thousand (8,125,000) shares of the Company's common stock at forty cents ($0.40) per share based on certain terms initially negotiated on May 31, 2024. The transaction is expected to close on June 5, 2024. The gross proceeds will be $3,250,000. The funds will be used for the Company’s ongoing business operations. Joseph Gunnar & Co., LLC acted as placement agent.

 

 

 

 

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: June 4, 2024 By: /s/ Linda Powers
  Name: Linda Powers
  Title: Chief Executive Officer and Chairman

 

 

 

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Cover
May 31, 2024
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Entity File Number 0-35737
Entity Registrant Name Northwest Biotherapeutics, Inc.
Entity Central Index Key 0001072379
Entity Tax Identification Number 94-3306718
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Entity Address, Address Line One 4800 Montgomery Lane
Entity Address, Address Line Two Suite 800
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Title of 12(b) Security Common Stock, par value, $0.001 per share
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