SEC Form 4 · accession 0001236031-17-000010
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
Jul 24, 2017
Accepted (ET)
Jul 25, 2017 · 3:26 pm 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 | $2.29 | Jul 24, 2017 | A | 109,170 | A | Jul 24, 2017 | Dec 22, 2017 | Common Stock | 109,170 | 688,441 | I |
| Series NN WarrantF1 | $2.52 | Jul 24, 2017 | A | 109,170 | A | Jul 24, 2017 | Jul 24, 2022 | Common Stock | 109,170 | 797,611 | I |
Explanation of responses
- F1A trust in which Mr. Kersten holds a beneficial interest participated in an offering and purchased a note in the principal amount of $250,000 as well the Series NN warrant. Shares issuable upon the conversion of the notes or exercise of the warrant will be restricted securities unless registered. The number of securities beneficially owned gives effect to the 25-for-1 reverse stock split which became effective on June 15, 2017, and include Series N warrants (as amended) to purchase 85,339 shares of common stock held by the de Clara Trust. The amended Series N warrants expire on August 18, 2018 and are exercisable at a price of $3.00 per share.