# EDGAR Filing Document

**Accession Number:** 0001072379
**File Stem:** 0001104659-26-000243
**Filing Date:** 2026-1
**Character Count:** 9046
**Document Hash:** e94bd3905c0a11029277a8b98e02f67e
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-26-000243.hdr.sgml**: 20260102

**ACCESSION NUMBER**: 0001104659-26-000243

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 15

**CONFORMED PERIOD OF REPORT**: 20251229

**ITEM INFORMATION**: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20260102

**DATE AS OF CHANGE**: 20260102

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** NORTHWEST BIOTHERAPEUTICS INC
- **CENTRAL INDEX KEY:** 0001072379
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 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:** 26503161

**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

?xml version='1.0' encoding='ASCII'?

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): December 29, 2025

Northwest Biotherapeutics, Inc.

(Exact name of registrant as specified in its charter)

Delaware 0-35737 94-3306718 <br> (State or other jurisdiction (Commission (IRS Employer <br> 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 I 4a-I 2 under the Exchange Act (17 CFR 240.l 4a-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 l 3e-4(c) under the Exchange Act (17 CFR 240. l 3e-4(c))

---

| | | |
|:---|:---|:---|
| **Title of each class:** | **Trading Symbol(s)** | **Name of each exchange on which<br> 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. l 2b-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 5.07.** | **Submission of Matters to a Vote of Security Holders.** |

---

Northwest Biotherapeutics, Inc. (the "Company") held an annual meeting of stockholders on December 29, 2025 (the "Annual Meeting"), at which a quorum was present. The number of shares represented and voting in person or by proxy at the Annual Meeting was 1,192,487,345, representing 77.4% of the total combined voting power of all outstanding voting shares on the record date for the Annual Meeting.

At the Annual Meeting, the stockholders voted on four matters: (1) the election of Mr. Pat Sarma as a Class II member of the Board of Directors for a term of three years; (2) ratification of the appointment of Cherry Bekaert LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2025; (3) approval of an amendment to the Company's Certificate of Incorporation to increase the number of authorized shares of common stock, par value $0.001 per share (the "Common Stock"), from 1,700,000,000 to 2,600,000,000 (the "Common Stock Increase Amendment") and (4) to approve, on an advisory basis, the Company's executive compensation.

Each share of Common Stock entitled the record holder to one vote on each matter to be voted upon at the Annual Meeting. Each share of Preferred Stock entitled the record holder to 25 votes on each matter to be voted upon at the Annual Meeting.

**Proposal No. 1. Election of Directors.** 

The common and preferred stockholders, voting as a single class, approved the election of Mr. Pat Sarma for a new three-year term as Class II member of the Board of Directors. The votes regarding Mr. Pat Sarma were as follows:

---

| | | | |
|:---|:---|:---|:---|
| **For** | **Against** | **Withheld** | **Broker Non-Votes** |
| 739207750 | 0 | 172286240 | 280993355 |
| (81.1%) | N/A | (18.9%) | N/A |

---

**Proposal No. 2. Ratification of Appointment of Registered Public Accounting Firm.**

The common and preferred stockholders, voting as a single class, ratified the appointment of Cherry Bekaert LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2025. The votes regarding appointment of Cherry Bekaert were as follows:

---

| | | | |
|:---|:---|:---|:---|
| **For** | **Against** | **Abstained** | **Broker Non-Votes** |
| 1143100380 | 38271749 | 11115216 | 0 |
| (93.76%) | (3.24%) | N/A | N/A |

---

**Proposal No. 3. Approval of Common Stock Increase Amendment.**

The common and preferred stockholders, voting together as a single class, approved the Common Stock Increase Amendment to increase the number of authorized shares of Common Stock as follows:

---

| | | | |
|:---|:---|:---|:---|
| **For** | **Against** | **Abstained** | **Broker Non-Votes** |
| 1056740073 | 122050303 | 13696969 | 280993355 |
| (89.65%) | (10.35%) | N/A | N/A |

---

**Proposal No. 4. Advisory Vote on Executive Compensation.**

The common and preferred stockholders, voting as a single class, approved the Company's executive compensation. The votes regarding approval were as follows:

---

| | | | |
|:---|:---|:---|:---|
| **For** | **Against** | **Abstained** | **Broker Non-Votes** |
| 667767433 | 196915765 | 46810792 | 280993355 |
| (77.23%) | (22.77%) | N/A | N/A |

---

2/3

---

| | |
|:---|:---|
| **Item 5.03.** | **Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.** |

---

On December 30, 2025, the Company filed a Certificate of Amendment of its Amended and Restated Certificate of Incorporation (the "Certificate of Amendment") with the Secretary of the State of Delaware, which effected an increase in the Company's authorized shares of common stock, from 1,700,000,000 to 2.600,000,000, par value $0.001 per share. The foregoing description is qualified in its entirety by reference to the full text of the Certificate of Amendment, which is included as Exhibit 3.1 to this Current Report on Form 8-K and is incorporated herein by reference.

---

| | |
|:---|:---|
| **Item 9.01.** | **Financial Statements and Exhibits.** |

---

(d) Exhibits.

---

| | |
|:---|:---|
| Exhibit No. | Description |
| [3.1](tm261685d1_ex3-1.htm) | [Certificate of Amendment of the Amended and Restated Certificate of Incorporation of Northwest Biotherapeutics, Inc.](tm261685d1_ex3-1.htm) |
| 104 | Cover Page Interactive Data File (embedded with the Inline XBRL document). |

---

3/3

**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. | NORTHWEST BIOTHERAPEUTICS, INC. |
| Date: January 2, 2026 | By: | /s/ Linda Powers |
|  | Name: | Linda Powers |
|  | Title: | Chief Executive Officer and Chairman |

---

## Exhibit 3.1

**Exhibit 3.1**

---

| | |
|:---|:---|
| &nbsp;&nbsp;![GRAPHIC](tm261685d1_ex3-1img001.jpg) | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Delaware The First State Page 1 2926697 8100 Authentication: 205748896 SR# 20255024761 Date: 12-30-25 You may verify this certificate online at corp.delaware.gov/authver.shtml I, CHARUNI PATIBANDA-SANCHEZ, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED IS A TRUE AND CORRECT COPY OF THE CERTIFICATE OF AMENDMENT OF "NORTHWEST BIOTHERAPEUTICS, INC.", FILED IN THIS OFFICE ON THE THIRTIETH DAY OF DECEMBER, A.D. 2025, AT 8:30 O`CLOCK A.M.  |

---

&nbsp;&nbsp;![GRAPHIC](tm261685d1_ex3-1img002.jpg)<br>