NorthWest Biotherapeutics Inc (NWBO)

[thermo]

A material debt issuance, as you know, will be reported* in an 8k. It should be within 4 days of the event but if a company is raising funds from a series of investors then the issuance won't be closed until the issuance is complete. So, in your example, NW may have raised funds before quarter end but won't close out the raise for several days into the next quarter. Once closed, we will then see the 8k.

Warrant exercises do not require an 8-k for the reason you gave.


* Unless the event occurred within 4 days of a 10Q/10K filing, in which case the event can be reported on the Q/K instead.