SEC Form 4 · accession 0001236215-18-000001
CEL SCI CORP · CVM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Geert R Kersten
Officer — CEO · Director
Period of report
Jun 11, 2018
Accepted (ET)
Jun 13, 2018 · 11:04 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000725363
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 11, 2018 | X | 147,929 | $1.69 | A | 652,953 | D | |
| Common StockF1 | Jun 11, 2018 | X | 109,170 | $2.29 | A | 762,123 | I | (1) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible Note | $1.69 | Jun 11, 2018 | X | 147,929 | D | Jun 22, 2017 | Sep 21, 2018 | Common Stock | 147,929 | 1,463,633 | D |
| Series UU Warrants | $2.80 | Jun 11, 2018 | A | 29,586 | A | Dec 11, 2018 | Jun 11, 2020 | Common Stock | 29,586 | 1,493,219 | D |
| Convertible Note (1) | $2.29 | Jun 11, 2018 | X | 109,170 | D | Jun 22, 2017 | Sep 21, 2018 | Common Stock | 109,170 | 1,384,049 | I |
| Series UU Warrants (1) | $2.80 | Jun 11, 2018 | A | 21,834 | A | Dec 11, 2018 | Jun 11, 2020 | Common Stock | 21,834 | 1,405,863 | I |
Explanation of responses
- F1Shares are held by a trust in which Mr. Kersten holds a beneficial interest.