SEC Form 4 · accession 0001236031-17-000005
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
Jun 22, 2017
Accepted (ET)
Jun 23, 2017 · 7:13 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000725363
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible NoteF1 | $1.69 | Jun 22, 2017 | A | 147,929 | A | Jun 22, 2017 | Dec 22, 2017 | Common Stock | 147,929 | 459,788 | D |
| Series MM Warrants | $1.86 | Jun 22, 2017 | A | 147,929 | A | Jun 22, 2017 | Jun 22, 2022 | Common Stock | 147,929 | 607,717 | D |
Explanation of responses
- F1Mr. Kersten participated in an offering and purchased a note in the principal amount of $250,000. Shares issuable upon the conversion of the note will be restricted securities unless registered.