Northwest Biotherapeutics, Inc. (OTCMKTS:NWBO) Files An 8-K Material Modification to Rights of Security HoldersItem 3.03
The discussion in Item 3.03 of this Current Report on Form 8-K is hereby incorporated by reference in this Item 3.03.
| Item 3.03 | Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year. |
Amended and Restated Series A Certificate of Designations
As previously announced, Northwest Biotherapeutics, Inc. (the “Company”) filed a Certificate of Designations relating to the Company’s Series A Preferred Stock. On December 15, 2017, the Company filed an Amended and Restated Series A Certificate of Designations with the Secretary of State of the State of Delaware, which corrected certain provisions in Sections 4.4 and Section 6.5. The foregoing does not purport to be a complete description of the Amended and Restated Series A Certificate of Designations and is qualified in its entirety by reference to the full text of the Amended and Restated Series A Certificate of Designations, which is included as Exhibit 3.1 to this Current Report on Form 8-K and is incorporated herein by reference.
| Item 3.03 | Regulation FD Disclosure |
On December 19, 2017, the Company issued a press release announcing the commencement of a general solicitation offering of Series B Convertible Preferred Stock and Class D-2 Warrants to “accredited investors” as defined in Rule 501(a) of Regulation D. A copy of the press release is filed as Exhibit 99.1 hereto and is incorporated herein by reference.
The information contained in this Item 3.03 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, except as shall be expressly set forth by specific reference in such filing.
| Item 3.03 | Financial Statements and Exhibits. |
(d)Exhibits.
NORTHWEST BIOTHERAPEUTICS INC ExhibitEX-3.1 2 tv481770_ex3-1.htm EXHIBIT 3.1 Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF DESIGNATIONS OF SERIES A CONVERTIBLE PREFERRED STOCK OF NORTHWEST BIOTHERAPEUTICS,…To view the full exhibit click here
About Northwest Biotherapeutics, Inc. (OTCMKTS:NWBO)
Northwest Biotherapeutics, Inc. is a biotechnology company. The Company is focused on developing immunotherapy products to treat cancer. One of the product lines (DCVax-L) is designed to cover all solid tumor cancers in which the tumors can be surgically removed. Another product line (DCVax-Direct) is designed for all solid tumor cancers. The Company’s lead product, DCVax-L, is in an ongoing Phase III trial for diagnosed Glioblastome multiforme (GBM), with over 60 trial sites. Its second product, DCVax-Direct, is being studied in a 60-patient Phase I/II trial for all types of inoperable solid tumors. The 40-patient Phase I stage of the trial has been completed. The Company is working on preparations for Phase II trials of DCVax-Direct. The Company’s platform technology, DCVax, uses activated dendritic cells to mobilize a patient’s own immune system, including T cells, B cells and antibodies and natural killer cells, among others to attack cancer cells to attack their cancer.