SEC Form 4 · accession 0001236031-18-000036
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
Aug 24, 2018
Accepted (ET)
Aug 28, 2018 · 9:10 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series MM Warrants | $1.86 | Aug 24, 2018 | A | 150,000 | A | Jun 22, 2017 | Jun 22, 2022 | Common Stock | 150,000 | 1,556,683 | D |
| Series NN Warrants | $2.52 | Aug 24, 2018 | A | 65,000 | A | Jul 24, 2017 | Jul 24, 2022 | Common Stock | 65,000 | 1,621,683 | D |
| Series RR Warrants | $1.65 | Aug 24, 2018 | A | 100,000 | A | Oct 30, 2017 | Oct 30, 2022 | Common Stock | 100,000 | 1,721,683 | D |
| Series UU Warrants | $2.80 | Aug 24, 2018 | A | 40,000 | A | Dec 11, 2018 | Jun 11, 2020 | Common Stock | 40,000 | 1,761,683 | D |