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CEL SCI CORP — Director's Dealing 2014
Aug 21, 2014
34401_dirs_2014-08-21_0f1fc41d-cebb-4dce-8dca-7ea5fcdd95bc.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CEL SCI CORP (cvm)
CIK: 0000725363
Period of Report: 2014-08-19
Reporting Person: KERSTEN GEERT R (Director, Chief Executive Officer)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-08-19 | Convertible Note | $4 | G | 276014 | Acquired | 2015-07-06 | Common Stock (276014) | Indirect |
| 2014-08-19 | Warrants | $4 | G | 164824 | Acquired | 2014-12-24 | Common Stock (164824) | Indirect |
| 2014-08-19 | Warrants | $5 | G | 184930 | Acquired | 2015-01-06 | Common Stock (184930) | Indirect |
Footnotes
F1: 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.