0001004878-17-000045.txt : 20170228
0001004878-17-000045.hdr.sgml : 20170228
20170227173837
ACCESSION NUMBER: 0001004878-17-000045
CONFORMED SUBMISSION TYPE: 8-K
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170224
ITEM INFORMATION: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
ITEM INFORMATION: Financial Statements and Exhibits
FILED AS OF DATE: 20170228
DATE AS OF CHANGE: 20170227
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: CEL SCI CORP
CENTRAL INDEX KEY: 0000725363
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 840916344
STATE OF INCORPORATION: CO
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: 8-K
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11889
FILM NUMBER: 17643506
BUSINESS ADDRESS:
STREET 1: 8229 BOONE BLVD .
STREET 2: SUITE 802
CITY: VIENNA
STATE: VA
ZIP: 22182
BUSINESS PHONE: 7035069460
MAIL ADDRESS:
STREET 1: 8229 BOONE BLVD.
STREET 2: SUITE 802
CITY: VIENNA
STATE: VA
ZIP: 22182
FORMER COMPANY:
FORMER CONFORMED NAME: INTERLEUKIN 2 INC
DATE OF NAME CHANGE: 19880317
8-K
1
form8kitem301nyse2-17.txt
8-K ITEM 3.01
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report (date of earliest event reported): February 24, 2017
CEL-SCI CORPORATION
---------------------------------------------------
(Exact name of Registrant as specified in its charter)
Colorado 01-11889 84-0916344
-------------------- ------------------- ----------------
(State or other jurisdiction (Commission File No.) (IRS Employer
of incorporation) Identification No.)
8229 Boone Boulevard, Suite 802
Vienna, Virginia 22182
---------------------------------------------------
(Address of principal executive offices, including Zip Code)
Registrant's telephone number, including area code: (703) 506-9460
N/A
---------------------------------------------------
(Former name or former address if changed since last report)
Item 3.01. Other Events.
On December 9, 2016, the Company received notice from the NYSE MKT (the
"Exchange") indicating that the Company was not in compliance with Section
1003(a) of the Exchange's continued listing standards in the Company Guide. The
Company was afforded the opportunity to submit a plan to regain compliance, and
on January 9, 2017 the Company submitted its plan to the Exchange.
On February 24, 2017, the Exchange notified the Company that it accepted
the Company's plan of compliance and granted the Company an extension until June
11, 2018 to regain compliance with the continued listing standards. The Company
will be subject to periodic review during the extension period. Failure to make
progress consistent with the plan or to regain compliance with the continued
listing standards by the end of the extension period could result in the Company
being delisted from the NYSE MKT.
On February 27, 2017, the Company issued a press release announcing its
receipt from the Exchange of its acceptance of the Company's plan of compliance.
The full text of this press release is attached as Exhibit 99.
Item 9.01. Financial Statements anf Exhibits.
Exhibit Description
------- -----------
99 Press Release dated February 27, 2017
2
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the
registrant has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized.
Date: February 27, 2017 CEL-SCI CORPORATION
By: /s/ Patricia B. Prichep
---------------------------------
Patricia B. Prichep,
Senior Vice President of Operations
EX-99
2
form8kitem301ex99feb-17.txt
EXHIBIT 99 PRESS RELEASE
EXHIBIT 99
8229 Boone Boulevard,
Suite 802 COMPANY CONTACT:
Vienna, VA 22182. USA Gavin de Windt
Telephone (703) 506-9460 CEL-SCI Corporation
www.cel-sci.com (703) 506-9460
CEL-SCI Announces That the NYSE MKT Approves Plan
VIENNA, VA, February 27, 2017 - CEL-SCI Corporation (NYSE MKT: CVM) announces
that the NYSE MKT (the "Exchange") has accepted the Company's plan to bring
itself into compliance with the Exchange's continued listing standards.
The Company previously received notice from the Exchange on December 9, 2016,
indicating the Company is below compliance with Section 1003(a)(i), Section
1003(a)(ii) and Section 1003(a)(iii) since it reported a stockholders' equity
deficit as of June 30, 2016 and had a net losses in its 5 most recent fiscal
years ended September 30, 2015. The Company was afforded the opportunity to
submit a plan to regain compliance, and on January 9, 2017 the Company submitted
its plan to the Exchange.
On February 24, 2017 the Exchange notified the Company that it accepted the
Company's plan of compliance and granted the Company until June 11, 2018 to
regain compliance with the continued listing standards. The Company will be
subject to periodic review during this period. Failure to make progress
consistent with the plan or to regain compliance with the continued listing
standards by the end of the period could result in the Company being delisted
from the NYSE MKT. The Company may then appeal a staff determination to initiate
such proceedings in accordance with the exchange's Company Guide.
About CEL-SCI Corporation
CEL-SCI's work is focused on finding the best way to activate the immune system
to fight cancer and infectious diseases. The Company has operations in Vienna,
Virginia, and in/near Baltimore, Maryland.
Forward-Looking Statements
This press release contains forward-looking statements within the meaning of
Section 27A of the Securities Act of 1933, as amended, and Section 21E of the
Securities Exchange Act of 1934, as amended. When used in this press release,
the words "intends," "believes," "anticipated," "plans" and "expects," and
similar expressions, are intended to identify forward-looking statements. Such
statements are subject to risks and uncertainties that could cause actual
results to differ materially from those projected. Such statements include, but
are not limited to, statements about the terms, expected proceeds, use of
proceeds and closing of the offering. Factors that could cause or contribute to
such differences include, an inability to duplicate the clinical results
demonstrated in clinical studies, timely development of any potential products
that can be shown to be safe and effective, receiving necessary regulatory
approvals, difficulties in manufacturing any of the Company's potential
products, inability to raise the necessary capital and the risk factors set
forth from time to time in CEL-SCI's filings with the Securities and Exchange
Commission, including but not limited to its report on Form 10-K and 10-K/A for
the year ended September 30, 2016. The Company undertakes no obligation to
publicly release the result of any revision to these forward-looking statements
which may be made to reflect the events or circumstances after the date hereof
or to reflect the occurrence of unanticipated events.\