SEC Form 4 · accession 0001236031-17-000011
CEL SCI CORP · CVM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patricia B Prichep
Officer — Senior Vice President
Period of report
Jul 24, 2017
Accepted (ET)
Jul 25, 2017 · 3:35 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 | 10,917 | A | Jul 24, 2017 | Dec 22, 2017 | Common Stock | 10,917 | 41,505 | D |
| Series NN WarrantF1 | $2.52 | Jul 24, 2017 | A | 10,917 | A | Jul 24, 2017 | Jul 24, 2022 | Common Stock | 10,917 | 52,422 | D |
Explanation of responses
- F1Ms. Prichep participated in an offering and purchased a note in the principal amount of $25,000, as well as the Series NN warrant. Shares issuable upon the conversion of the note or the exercise of the warrant will be restricted securities unless registered.