-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, P260YJqKSUbM7EQ+05zxceHC4ffBDKWOMw+sJ8a7F6hpNRFWWAqyeWgmGHV+SXxX 5HGtPRFCXZhaXxrcbT+pmA== 0001144204-09-018634.txt : 20090402 0001144204-09-018634.hdr.sgml : 20090402 20090402165849 ACCESSION NUMBER: 0001144204-09-018634 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090327 ITEM INFORMATION: Entry into a Material Definitive Agreement ITEM INFORMATION: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant FILED AS OF DATE: 20090402 DATE AS OF CHANGE: 20090402 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: 000-33393 FILM NUMBER: 09728427 BUSINESS ADDRESS: STREET 1: 7600 WISCONSIN AVE. STREET 2: SUITE 750 CITY: BETHESDA STATE: MD ZIP: 20814 BUSINESS PHONE: 4256083008 MAIL ADDRESS: STREET 1: 7600 WISCONSIN AVE. STREET 2: SUITE 750 CITY: BETHESDA STATE: MD ZIP: 20814 8-K 1 v145246_8k.htm Unassociated Document
 
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 27, 2009
 
 
NORTHWEST BIOTHERAPEUTICS, INC.
 
(EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER)
 
         
DELAWARE
        
(STATE OR OTHER
  
0-33393
  
94-3306718
JURISDICTION
  
(COMMISSION FILE
  
(I.R.S. EMPLOYER
OF INCORPORATION)
  
NUMBER)
  
IDENTIFICATION NO.)
 
7600 Wisconsin Avenue, Suite 750, Bethesda, MD 20814
(ADDRESS OF PRINCIPAL EXECUTIVE OFFICES) (ZIP CODE)
 
 
REGISTRANT’S TELEPHONE NUMBER, INCLUDING AREA CODE (240) 497-9024
 
 
 
Check the appropriate box below if the Form 8-K is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
 
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 
Item 1.01.
Entry into a Material Definitive Agreement  
 
On March 27, 2009, Northwest Biotherapeutics, Inc. (the “Company”) received funds of $110,000 from a private investor (“INVESTOR”).  The investment is in the form of a promissory note (“NOTE”) that is an unsecured obligation of the Company and accrues interest at the rate of 6% per year. The maturity date of the Note will be two years for date of issuance.  The Note may be prepaid at the discretion of the Company at any time prior to maturity, without any prepayment penalty and at the discretion of the Company.  The Note also contains customary representations, warranties and covenants.    
   
Item 2.03.
  
Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant.
 
 
The disclosure under Item 1.01 of this Form 8-K is incorporated into this Item 2.03 by this reference.
     

Item9.01. 
Financial Statements and Exhibits.
 
(a)  
Financial Statements of Businesses Acquired:  Not Applicable
 
(b)  
Pro Forma Financial Information:  Not Applicable
 
(c)  
Shell Company Transactions:  Not Applicable
 
(d)  
Exhibits.
 

 
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 hereunto duly authorized.
 
  Northwest Biotherapeutics, Inc.  
       
 
By:
/s/ Alton L. Boynton  
    Alton L. Boynton  
    President and Chief Executive Officer  
       
 
Date:  April 2, 2009
 
 

 
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