SEC Comment Letter for NORTHWEST BIOTHERAPEUTICS INC (NWBO) (CIK 0001072379) (NWBO) — Apr 2, 2018
NORTHWEST BIOTHERAPEUTICS INC (NWBO) (CIK 0001072379)
Date: April 2, 2018 · CIK: 0001072379 · Accession: 0000000000-18-009822
AI Filing Summary & Sentiment
Reasoning
File numbers found in text: 001-35737
Letter
April 2, 2018 Linda Powers Chief Executive Officer and Chairman Northwest Biotherapeutics, Inc. 4800 Montgomery Lane, Suite 800 Bethesda, MD 20814 Re:Northwest Biotherapeutics, Inc. Preliminary Proxy Statement on Schedule 14A Filed March 26, 2018 File No. 001-35737 Dear Ms. Powers: We have limited our review of your filing to those issues we have addressed in our comment. In some of our comments, we may ask you to provide us with information so we may better understand your disclosure. Please respond to the comment within ten business days by providing the requested information or advise us as soon as possible when you will respond. If you do not believe our comment applies to your facts and circumstances, please tell us why in your response. After reviewing your response to the comment, we may have additional comments. Preliminary Proxy Statement on Schedule 14A Proposal No. 1, page 5 1.Please expand your disclosure here and in the section describing Proposal No. 2 to specifically state whether you have any plans, proposals or arrangements, written or oral, to issue any of the newly authorized shares of common stock or preferred stock for general corporate or any other purposes. If there are any such plans, please describe them in the appropriate section. We remind you that the company and its management are responsible for the accuracy and adequacy of their disclosures, notwithstanding any review, comments, action or absence of action by the staff.
FirstName LastNameLinda Powers Comapany NameNorthwest Biotherapeutics, Inc. June 16, 2017 Page 2 FirstName LastName Linda Powers Northwest Biotherapeutics, Inc. April 2, 2018 Page 2 Please contact Dorrie Yale at 202-551-8776 or Mary Beth Breslin at 202-551-3625 with any questions. Division of Corporation Finance Office of Healthcare & Insurance cc: Eric Scarazzo
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April 2, 2018
Linda Powers
Chief Executive Officer and Chairman
Northwest Biotherapeutics, Inc.
4800 Montgomery Lane, Suite 800
Bethesda, MD 20814
Re:Northwest Biotherapeutics, Inc.
Preliminary Proxy Statement on Schedule 14A
Filed March 26, 2018
File No. 001-35737
Dear Ms. Powers:
We have limited our review of your filing to those issues we have addressed in our
comment. In some of our comments, we may ask you to provide us with information so we may
better understand your disclosure.
Please respond to the comment within ten business days by providing the requested
information or advise us as soon as possible when you will respond. If you do not believe our
comment applies to your facts and circumstances, please tell us why in your response.
After reviewing your response to the comment, we may have additional comments.
Preliminary Proxy Statement on Schedule 14A
Proposal No. 1, page 5
1.Please expand your disclosure here and in the section describing Proposal No. 2 to
specifically state whether you have any plans, proposals or arrangements, written or oral,
to issue any of the newly authorized shares of common stock or preferred stock for
general corporate or any other purposes. If there are any such plans, please describe them
in the appropriate section.
We remind you that the company and its management are responsible for the accuracy
and adequacy of their disclosures, notwithstanding any review, comments, action or absence of
action by the staff.
FirstName LastNameLinda Powers
Comapany NameNorthwest Biotherapeutics, Inc.
June 16, 2017 Page 2
FirstName LastName
Linda Powers
Northwest Biotherapeutics, Inc.
April 2, 2018
Page 2
Please contact Dorrie Yale at 202-551-8776 or Mary Beth Breslin at 202-551-3625 with
any questions.
Division of Corporation Finance
Office of Healthcare & Insurance
cc: Eric Scarazzo