SEC Form 4 · accession 0001236031-16-000033
CEL SCI CORP · CVM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Geert R Kersten
Officer — Chief Executive Officer · Director
Period of report
Jan 13, 2016
Accepted (ET)
Jan 14, 2016 · 8:49 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000725363
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 13, 2016 | A | 3,000,000 | $0.37 | A | 11,856,706 | I | Trustee |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series X WarrantF1 | $0.37 | Jan 13, 2016 | A | 3,000,000 | A | Jan 13, 2016 | Jan 13, 2021 | Common Stock | 3,000,000 | 7,941,928 | I |
Explanation of responses
- F1Includes 5,227,481 shares of common stock and warrants to purchase 5,844,627 shares of common stock held by the de Clara Trust. On January 13, 2016 the Company sold 3,000,000 shares of its common stock and warrants to purchase 3,000,000 shares of common stock to the de Clara Trust. The de Clara Trust is controlled by Geert Kersten, the Companys Chief Executive Officer and a director.