0001236031-14-000036.txt : 20140821 0001236031-14-000036.hdr.sgml : 20140821 20140821120904 ACCESSION NUMBER: 0001236031-14-000036 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140819 FILED AS OF DATE: 20140821 DATE AS OF CHANGE: 20140821 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KERSTEN GEERT R CENTRAL INDEX KEY: 0001236030 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11889 FILM NUMBER: 141057048 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2014-08-19 0 0000725363 CEL SCI CORP cvm 0001236030 KERSTEN GEERT R 1 1 0 0 Chief Executive Officer Convertible Note 4 2014-08-19 4 G 0 276014 0.01 A 2014-08-19 2015-07-06 Common Stock 276014 2309315 I Trustee Warrants 4 2014-08-19 4 G 0 164824 0.01 A 2014-08-19 2014-12-24 Common Stock 164824 2474139 I Trustee Warrants 5 2014-08-19 4 G 0 184930 0.01 A 2014-08-19 2015-01-06 Common Stock 184930 2659069 I Trustee Mr. Kersten is the trustee and one of the beneficiaries of a trust which, on August 19, 2014, received the following by assignment from Maximilian de Clara: (1) a promissory note in the principal amount of $1,104,056 which is convertible into shares of the Company common stock at a conversion price of $4.00 per share; (2) warrants which allow the trust to purchase up to 164,824 shares of the Company common stock at a price of $4.00 per share at any time prior to December 24, 2014; and (3) warrants which allow the trust to purchase up to 184,930 shares of the Company common stock at a price of $5.00 per share at any time prior to January 6, 2015. Mr. de Clara is the President and a director of the Company. Geert Kersten 2014-08-21