SEC Form 4 · accession 0001236031-17-000022
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
Nov 2, 2017
Accepted (ET)
Nov 6, 2017 · 1:05 pm EST
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series RR WarrantsF1,F2 | $1.65 | Nov 2, 2017 | A | 54,585 | A | Nov 2, 2017 | Oct 30, 2022 | Common Stock | 54,585 | 1,031,396 | I |
| Series RR WarrantsF1 | $1.65 | Nov 2, 2017 | A | 73,965 | A | Nov 2, 2017 | Oct 30, 2022 | Common Stock | 73,965 | 1,105,361 | D |
Explanation of responses
- F1In consideration for extending the maturity date of the Convertible Notes sold in June and July 2017, the Company issued the note holders that agreed to the extension Series RR warrants.
- F2A trust in which Mr. Kersten holds a beneficial interest participated in the offering in July 2017.