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ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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o
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TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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CEL-SCI CORPORATION |
(Exact name of registrant as specified in its charter) |
COLORADO | 84-0916344 | |
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) |
8229 Boone Blvd., Suite 802
Vienna, Virginia
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22182 | |
(Address of principal executive offices) | (Zip Code) |
Common Stock, $.01 par value Series S Warrants
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(Title of Class)
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Large accelerated filer | o | Accelerated filer | þ |
Non-accelerated filer | o | Smaller reporting company | o |
(Do not check if a smaller reporting company) |
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Revise Item 15; and
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file Exhibit 4(f) which was previously incorporated by reference.
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Exhibits | ||||
3(a)
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Articles of Incorporation
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Incorporated by reference to Exhibit 3(a) of CEL-SCI's combined Registration Statement on Form S-1 and Post-Effective Amendment ("Registration Statement"), Registration Nos. 2-85547-D and 33-7531.
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3(b)
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Amended Articles
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Incorporated by reference to Exhibit 3(a) of CEL-SCI's Registration Statement on Form S-1, Registration Nos. 2-85547-D and 33-7531.
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3(c)
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Amended Articles (Name change only)
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Filed as Exhibit 3(c) to CEL-SCI's Registration Statement on Form S-1 Registration Statement (No. 33-34878).
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3(d)
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Bylaws
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Incorporated by reference to Exhibit 3(b) of CEL-SCI's Registration Statement on Form S-1, Registration Nos. 2-85547-D and 33-7531.
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3(e) | Amended Bylaws |
Incorporated by reference to Exhibit 3(ii) of CEL-SCI’s report on Form 8-K dated March 16, 2015.
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4 |
Shareholders Rights Agreement
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Incorporated by reference to Exhibit 4 of CEL-SCI’S report on Form 8-K dated November 7, 2007.
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4(b) |
Incentive Stock Option Plan
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Incorporated by reference to Exhibit 4 (b) filed on September 25, 2012 with the Company’s registration statement on Form S¬8 (File number 333-184092.
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4(c) |
Non-Qualified Stock Option Plan
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Incorporated by reference to Exhibit 4 (b) filed on August 19, 2014 with the Company’s registration statement on Form S¬8 (File number 333-198244).
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4(d) |
Stock Bonus Plan
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Incorporated by reference to Exhibit 4 (d) filed on September 25, 2012 with the Company’s registration statement on Form S¬8 (File number 333-184092.
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4(e) |
Stock Compensation Plan
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Incorporated by reference to Exhibit 4 (e) filed on September 25, 2012 with the Company’s registration statement on Form S¬8 (File number 333-184092.
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4(f) |
2014 Incentive Stock Bonus Plan
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Filed with this Amendment No. 2 to the Company’s annual report on Form 10-K for the year ended September 30, 2014.
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10(d)
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Employment Agreement with Maximilian de Clara
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Incorporated by reference to Exhibit 10(d) of CEL-SCI’s report on Form 8-K (dated April 21, 2005) and Exhibit 10(d) to CEL-SCI’s report on Form 8-K dated September 8, 2006.
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10(f)
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Securities Purchase Agreement (together with schedule required by Instruction 2 to Item 601 of Regulation S-K) pertaining to Series K notes and warrants, together with the exhibits to the Securities Purchase Agreement
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Incorporated by reference to Exhibit 10 to CEL-SCI’s report on Form 8-K dated August 4, 2006.
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10(g)
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Subscription Agreement (together with Schedule required by Instruction 2 to Item 601 of Regulation S-K) pertaining to April 2007 sale of 20,000,000 shares of CEL-SCI’s common stock, 10,000,000 Series L warrants and 10,000,000 Series M Warrants
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Incorporated by reference to Exhibit 10 of CEL-SCI’s report on Form 8-K dated April 18, 2007
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10(h)
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Warrant Adjustment Agreement with Laksya Ventures
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Incorporated by reference to Exhibit 10(i) of CEL-SCI’s report on Form 8-K dated August 3, 2010
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10(i)
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Employment Agreement with Patricia Prichep (2013-2016)
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Incorporated by reference to Exhibit 10(j) of CEL-SCI’s report on Form 8-K dated August 30, 2013
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10(j)
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Employment Agreement with Eyal Taylor (2013-2016)
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Incorporated by reference to Exhibit 10(k) of CEL-SCI’s report on Form 8-K dated August 30, 2013.
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10(k)
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Amendment to Employment Agreement with Maximilian de Clara
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Incorporated by reference to Exhibit 10(l) of CEL-SCI’s report on Form 8-K dated August 30, 2010 and Exhibit 10(l) of CEL-SCI’s report on Form 8-K dated August 30, 2013.
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10(l)
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First Amendment to Development Supply and Distribution Agreement with Orient Europharma.
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Incorporated by reference to Exhibit 10(m) filed with CEL-SCI’s 10-K report for the year ended September 30, 2010.
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10(m)
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Exclusive License and Distribution Agreement with Teva Pharmaceutical Industries Ltd.
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Incorporated by reference to Exhibit 10(n) filed with CEL-SCI’s 10-K report for the year ended September 30, 2010.
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10(n)
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Lease Agreement
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Incorporated by reference to Exhibit 10(o) filed with CEL-SCI’s 10-K report for the year ended September 30, 2010.
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10(o)
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Promissory Note with Maximilian de Clara, together with Amendments 1 and 2
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Incorporated by reference to Exhibit 10(p) filed with CEL-SCI’s 10-K report for the year ended September 30, 2010.
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10(p)
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Licensing Agreement with Byron Biopharma
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Incorporated by reference to Exhibit 10(i) of CEL-SCI’s report on Form 8-K dated March 27, 2009
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10(q)
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At Market Issuance Sales Agreement with McNicoll, Lewis & Vlak LLC
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Incorporated by reference to Exhibit 10(r) filed with CEL-SCI’s 10-K report for the year ended September 30, 2010
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10(z)
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Development, Supply and Distribution Agreement with Orient Europharma
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Incorporated by reference to Exhibit 10(z) filed with CEL-SCI’s report on Form 10-K for the year ended September 30, 2003.
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10(za)
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Employment Agreement with Geert Kersten. Amendment to Employment Agreement
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Incorporated by reference to Exhibit 10(za) to CEL-SCI’s report on Form 8-K dated September 1, 2011 and Exhibit 10(za) of CEL-SCI’s report on Form 8-K dated August 30, 2013.
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10(aa)
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Securities Purchase Agreement and form of the Series F warrants, which is and exhibit to the Securities Purchase Agreement
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Incorporated by reference to Exhibit 10(aa) of CEL-SCI’s report on Form 8-K dated October 3, 2011.
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10(bb)
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Placement Agent Agreement
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Incorporated by reference to Exhibit 10(bb) of CEL-SCI’s report on Form 8-K dated October 3, 2011.
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10(cc)
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Securities Purchase Agreement, together with the form of the Series H warrant, which is an exhibit to the securities Purchase Agreement
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Incorporated by reference to Exhibit 10(cc) of CEL-SCI’s report on Form 8-K dated January 25, 2012.
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10(dd)
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Placement Agent Agreement
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Incorporated by reference to Exhibit 10(dd) of CEL-SCI’s report on Form 8-K dated January 25, 2012.
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10(ee)
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Warrant Amendment Agreement, together with the form of the Series P warrant, which is an exhibit to the Warrant Amendment Agreement
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Incorporated by reference to Exhibit 10(ee) of CEL-SCI’s report on Form 8-K dated February 10, 2012.
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10(ff)
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Placement Agent Agreement
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Incorporated by reference to Exhibit 10(ff) of CEL-SCI’s report on Form 8-K dated February 10, 2012.
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10(gg)
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Securities Purchase Agreement and the form of the Series Q warrant, which is an exhibit to the Securities Purchase Agreement
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Incorporated by reference to Exhibit 10(gg) of CEL-SCI’s report on Form 8-K dated June 18, 2012.
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10(hh)
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Placement Agent Agreement
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Incorporated by reference to Exhibit 10(hh) of CEL-SCI’s report on Form 8-K dated June 18, 2012.
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10 (ii)
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Securities Purchase Agreement and the form of the Series R warrant, which is an exhibit to the Securities Purchase Agreement
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Incorporated by reference to Exhibit 10(ii) of CEL-SCI’s report on Form 8-K dated December 5, 2012.
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10 (jj)
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Placement Agent Agreement
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Incorporated by reference to Exhibit 10(jj) of CEL-SCI’s report on Form 8-K dated December 5, 2012.
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10 (nn)
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Underwriting Agreement, together with the form of Series S warrant which is an exhibit to the underwriting agreement
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Incorporated by reference to Exhibit 1.1 of CEL-SCI’s report on Form 8-K dated October 8, 2013.
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10 (oo)
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Underwriting Agreement, together with the form of Series S warrant which is an exhibit to the underwriting agreement
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Incorporated by reference to Exhibit 1.1 of CEL-SCI’s report on Form 8-K dated December 19, 2013.
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10 (pp)
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Underwriting Agreement, together with the form of Series T warrant which is an exhibit to the warrant agent agreement
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Incorporated by reference to Exhibit 1.1 of CEL-SCI’s report on Form 8-K dated April 15, 2014.
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10 (qq)
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Underwriting Agreement, together with the form of Series S warrant which is an exhibit to the warrant agent agreement
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Incorporated by reference to Exhibit 1.1 of CEL-SCI’s report on Form 8-K dated October 23, 2014.
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10 (rr)
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Assignment and Assumption Agreement with Teva Pharmaceutical Industries, Ltd. and GCP Clinical Studies, Ltd.
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(1)
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10 (ss)
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Service Agreement with GCP Clinical Studies, Ltd., together with Amendment 1 thereto*
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(1)
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10 (tt)
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Joinder Agreement with PLIVA Hrvatska d.o.o.
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(1)
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10 (uu)
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Master Service Agreement with Ergomed Clinical Research, Ltd., and Clinical Trial Orders thereunder
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(1)
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10 (vv)
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Co-Development and Revenue Sharing Agreement with Ergomed Clinical Research Ltd., dated April 19, 2013, as amended
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(1)
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10 (ww)
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Co-Development and Revenue Sharing Agreement II: Cervical Intraepithelial Neoplasia in HIV/HPV co-infected women, with Ergomed Clinical Research Ltd., dated October 10, 2013, as amended
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(1)
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10 (xx)
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Co-Development and Revenue Sharing Agreement III: Anal warts and anal intraepithelial neoplasia in HIV/HPV co-infected patients, with Ergomed Clinical Research Ltd., dated October 24, 2013
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(1)
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10 (yy)
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Master Services Agreement with Aptiv Solutions, Inc.
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(1)
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10 (zz)
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Project Agreement Number 1 with Aptiv Solutions, Inc. together with Amendments 1 and 2 thereto*
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(1)
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10 (aaa)
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Second Amendment to Development Supply and Distribution Agreement with Orient Europharma
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(1)
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10 (bbb)
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Amended and Restated Promissory Note with Maximilian de Clara
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(1)
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Rule 13a-14(a) Certifications
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Section 1350 Certifications
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1.
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Filed on April 17, 2015 with the Company’s first amendment to its 10-K report for the year ended September 30, 2014.
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CEL-SCI CORPORATION
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By:
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/s/ Maximilian de Clara | |
Maximilian de Clara, President
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Signature
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Title
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Date
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/s/ Maximilian de Clara
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Director
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July 17, 2015
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Maximilian de Clara
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/s/ Geert R. Kersten
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Chief Executive, Principal Accounting, Principal Financial Officer and a Director
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July 17, 2015
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Geert R. Kersten
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/s/ Alexander G. Esterhazy
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Director
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July 17, 2015
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Alexander G. Esterhazy
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/s/ Dr. Peter R. Young
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Director
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July 17, 2015
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Dr. Peter R. Young
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(i)
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a Level One Change in Control shall occur upon (a) acquisition by any individual, entity or group of beneficial ownership (within the meaning of Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) of 50% or more of the Company’s either (1) the then outstanding shares of common stock of the Company or (2) the combined voting power of the then outstanding voting securities of the Company entitled to vote in the election of directors or (b) a majority of the Board consisting of persons who were not nominated or appointed in the first instance by the Board.
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(ii)
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a Level Two Change in Control shall occur upon acquisition by any individual, entity or group of beneficial ownership (within the meaning of Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) of 20% or more of the Company’s either (1) the then outstanding shares of common stock of the Company or (2) the combined voting power of the then outstanding voting securities of the Company entitled to vote in the election of directors.
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(iii)
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Cause shall mean “cause” as defined in the participant’s award agreement or written employment agreement with the Company, or if not defined in any such agreement, “cause” shall mean (a) conviction of, or pleas of nolo contendere by the participant for a felony or dishonesty while performing his employment duties, (b) a participant’s violation of any non-competition, non-solicitation, confidentiality or other restrictive covenant agreement applicable to the participant or (c) the participant’s continued failure to materially carry out his duties as an employee which failure has not been cured within 30 days after the participant receives written notice of such failure.
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(iv)
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Good Reason shall mean (a) a reduction in compensation (including benefits) or (b) the participant being assigned any duties which are materially inconsistent with the duties of the participant immediately prior to the occurrence of the Level Two Change in Control or (c) the office at which the participant performs his duties is more than 10 miles from the office at which the participant performed his duties immediately prior to the occurrence of the Level Two Change in Control.
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July 17, 2015
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/s/ Geert R. Kersten | ||
Geert R. Kersten | |||
Principal Executive Officer | |||
July17, 2015
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/s/ Geert R. Kersten | ||
Geert R. Kersten | |||
Principal Financial Officer | |||
(1)
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The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934; and
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(2)
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The information contained in the Report fairly presents, in all material respects the financial condition and results of the Company.
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July 17, 2015
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/s/ Geert Kersten | ||
Geert Kersten, Chief Executive and Principal | |||
Financial and Accounting Officer | |||