0001236031-17-000010.txt : 20170725 0001236031-17-000010.hdr.sgml : 20170725 20170725152657 ACCESSION NUMBER: 0001236031-17-000010 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170724 FILED AS OF DATE: 20170725 DATE AS OF CHANGE: 20170725 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: 17980372 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 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2017-07-24 0 0000725363 CEL SCI CORP cvm 0001236030 KERSTEN GEERT R 1 1 0 0 Chief Executive Officer Convertible Note 2.29 2017-07-24 4 A 0 109170 250000 A 2017-07-24 2017-12-22 Common Stock 109170 688441 I Beneficiary Series NN Warrant 2.52 2017-07-24 4 A 0 109170 0.01 A 2017-07-24 2022-07-24 Common Stock 109170 797611 I Beneficiary A trust in which Mr. Kersten holds a beneficial interest participated in an offering and purchased a note in the principal amount of $250,000 as well the Series NN warrant. Shares issuable upon the conversion of the notes or exercise of the warrant will be restricted securities unless registered. The number of securities beneficially owned gives effect to the 25-for-1 reverse stock split which became effective on June 15, 2017, and include Series N warrants (as amended) to purchase 85,339 shares of common stock held by the de Clara Trust. The amended Series N warrants expire on August 18, 2018 and are exercisable at a price of $3.00 per share. Geert Kersten 2017-07-25