Colorado
|
(State
or other jurisdiction of incorporation)
|
84-0916344
|
|
8229
Boone Blvd. #802
Vienna,
Virginia 22182
(703)
506-9460
|
(IRS
Employer I.D. Number)
|
|
(Address,
including zip code, and telephone number including area of
principal executive offices)
|
Geert
Kersten
8229
Boone Blvd. #802
Vienna,
Virginia 22182
(703)
506-9460
|
(Name
and address, including zip code, and telephone
number, including area code, of agent for
service)
|
Large accelerated
filer
|
☐
|
Accelerated
filer
|
☐
|
Non-accelerated
filer
|
☒
|
Smaller reporting
company
|
☒
|
Emerging growth
company
|
☐
|
|
|
Title of each
Class of Securities to be
Registered
|
Securities to be
Registered
|
Maximum Offering
Price Per Share
|
Proposed Maximum
Aggregate Offering Price
|
Amount of
Registration Fee
|
Common stock
offered by selling shareholders
|
8,761,441
|
$2.74
|
$24,006,348
|
$2,910
|
Name of Selling Shareholder
|
|
Shares Owned
|
|
Warrant Series
|
|
Shares issuable upon exercise of warrants
|
|
Shares to be sold in this offering
|
|
Share ownership after offering
|
Ergomed
|
|
500,000
|
|
--
|
|
--
|
|
500,000
|
|
-
|
Anson Investments Master Fund LP
|
|
-
|
|
GG
|
|
200,000
|
|
200,000
|
|
-
|
Michael Vasinkevich
|
|
-
|
|
HH
|
|
12,900
|
|
12,900
|
|
-
|
Noam Rubinstein
|
|
-
|
|
HH
|
|
6,300
|
|
6,300
|
|
-
|
Mark Viklund
|
|
-
|
|
HH
|
|
600
|
|
600
|
|
-
|
Charles Worthman
|
|
-
|
|
HH
|
|
200
|
|
200
|
|
-
|
Intracoastal Capital, LLC
|
|
-
|
|
II
|
|
200,000
|
|
200,000
|
|
-
|
Sabby Volatility Warrant Master Fund, Ltd.
|
|
-
|
|
II
|
|
16,500
|
|
16,500
|
|
-
|
Michael Vasinkevich
|
|
-
|
|
JJ
|
|
19,350
|
|
19,350
|
|
-
|
Noam Rubinstein
|
|
-
|
|
JJ
|
|
9,450
|
|
9,450
|
|
-
|
Mark Viklund
|
|
-
|
|
JJ
|
|
900
|
|
900
|
|
-
|
Charles Worthman
|
|
-
|
|
JJ
|
|
300
|
|
300
|
|
-
|
Sabby Volatility Warrant Master Fund, Ltd.
|
|
-
|
|
KK
|
|
131,970
|
|
131,970
|
|
-
|
Sabby Healthcare Master Fund, Ltd.
|
|
-
|
|
KK
|
|
81,900
|
|
81,900
|
|
-
|
Michael Vasinkevich
|
|
-
|
|
LL
|
|
17,027
|
|
17,027
|
|
-
|
Noam Rubinstein
|
|
-
|
|
LL
|
|
8,315
|
|
8,315
|
|
-
|
Mark Viklund
|
|
-
|
|
LL
|
|
792
|
|
792
|
|
-
|
Charles Worthman
|
|
-
|
|
LL
|
|
264
|
|
264
|
|
-
|
Harald Wengust
|
|
-
|
|
MM
|
|
35,503
|
|
35,503
|
|
-
|
Christian Schleuning
|
|
-
|
|
MM
|
|
59,172
|
|
59,172
|
|
-
|
Dirk Oldenburg
|
|
-
|
|
MM
|
|
384,615
|
|
384,615
|
|
-
|
The Edward L. Cohen 2012
Descendants Trust
|
|
-
|
|
MM
|
|
118,343
|
|
118,343
|
|
-
|
Tom Ulie
|
|
-
|
|
MM
|
|
147,929
|
|
147,929
|
|
-
|
Geert Kersten
|
|
1,076,881
|
|
MM
|
|
147,929
|
|
147,929
|
|
1,076,881
|
Dirk Oldenburg
|
|
-
|
|
NN
|
|
131,004
|
|
131,004
|
|
-
|
de Clara Trust
|
|
321,421
|
|
NN
|
|
109,170
|
|
109,170
|
|
321,421
|
Kircos Family Revocable Inheritance
Trust dated 8/8/13
|
|
-
|
|
NN
|
|
43,668
|
|
43,668
|
|
-
|
J.A. Wampler
|
|
-
|
|
NN
|
|
43,668
|
|
43,668
|
|
-
|
Christian Schleuning
|
|
-
|
|
NN
|
|
26,201
|
|
26,201
|
|
-
|
Heinz Matthies
|
|
-
|
|
NN
|
|
32,751
|
|
32,751
|
|
-
|
Edward Renzelli
|
|
-
|
|
NN
|
|
21,834
|
|
21,834
|
|
-
|
Allen H. Van Dyke
|
|
-
|
|
NN
|
|
10,917
|
|
10,917
|
|
-
|
The Edward L. Cohen 2012 Descendants
Trust
|
|
-
|
|
NN
|
|
21,834
|
|
21,834
|
|
-
|
Tom Ulie
|
|
-
|
|
NN
|
|
43,668
|
|
43,668
|
|
-
|
Shea Hughes
|
|
-
|
|
NN
|
|
43,668
|
|
43,668
|
|
-
|
Patricia B. Prichep
|
|
191,760
|
|
NN
|
|
10,917
|
|
10,917
|
|
191,760
|
E-Consult KFT
|
|
-
|
|
OO
|
|
60,000
|
|
60,000
|
|
-
|
CVI Investments, Inc.
|
|
-
|
|
PP
|
|
112,500
|
|
112,500
|
|
-
|
Mark Viklund
|
|
-
|
|
QQ
|
|
2,625
|
|
2,625
|
|
-
|
Charles Worthman
|
|
-
|
|
QQ
|
|
875
|
|
875
|
|
-
|
Dirk Oldenburg
|
|
-
|
|
RR
|
|
1,430
|
|
1,430
|
|
-
|
Angela Brandenburg
|
|
-
|
|
RR
|
|
38,037
|
|
38,037
|
|
-
|
Geert Kersten
|
|
-
|
|
RR
|
|
100,000
|
|
100,000
|
|
-
|
de Clara Trust
|
|
-
|
|
RR
|
|
54,585
|
|
54,585
|
|
-
|
Kircos Family Revocable Inheritance
Trust dated 8/8/13
|
|
-
|
|
RR
|
|
21,834
|
|
21,834
|
|
-
|
J.A. Wampler
|
|
-
|
|
RR
|
|
21,834
|
|
21,834
|
|
-
|
Heinz Matthies
|
|
-
|
|
RR
|
|
16,376
|
|
16,376
|
|
-
|
Edward Renzelli
|
|
-
|
|
RR
|
|
10,917
|
|
10,917
|
|
-
|
Allen H. Van Dyke
|
|
-
|
|
RR
|
|
5,459
|
|
5,459
|
|
-
|
The Edward L. Cohen 2012 Descendants
Trust
|
|
-
|
|
RR
|
|
70,089
|
|
70,089
|
|
-
|
Tom Ulie
|
|
-
|
|
RR
|
|
95,799
|
|
95,799
|
|
-
|
Shea Hughes
|
|
-
|
|
RR
|
|
21,834
|
|
21,834
|
|
-
|
Patricia B. Prichep
|
|
-
|
|
RR
|
|
5,459
|
|
5,459
|
|
-
|
Geert Kersten
|
|
-
|
|
RR
|
|
73,965
|
|
73,965
|
|
-
|
Harald Wengust
|
|
-
|
|
RR
|
|
17,752
|
|
17,752
|
|
-
|
Christian Schleuning
|
|
-
|
|
SS
|
|
13,158
|
|
13,158
|
|
-
|
EIM Nominees Limited
|
|
-
|
|
SS
|
|
52,632
|
|
52,632
|
|
-
|
Dirk Oldenburg
|
|
-
|
|
SS
|
|
26,316
|
|
26,316
|
|
-
|
J.A. Wampler
|
|
-
|
|
SS
|
|
26,316
|
|
26,316
|
|
-
|
Heinz Matthies
|
|
-
|
|
SS
|
|
31,832
|
|
31,832
|
|
-
|
Andreas Moosmayer
|
|
-
|
|
SS
|
|
19,100
|
|
19,100
|
|
-
|
Claudia Kuen
|
|
-
|
|
SS
|
|
1,700
|
|
1,700
|
|
-
|
Edward Renzelli
|
|
-
|
|
SS
|
|
26,316
|
|
26,316
|
|
-
|
Michael Lucci Jr.
|
|
-
|
|
SS
|
|
39,474
|
|
39,474
|
|
-
|
Lance S. Gad
|
|
-
|
|
SS
|
|
200,000
|
|
200,000
|
|
-
|
Thomas G. Long
|
|
-
|
|
SS
|
|
13,158
|
|
13,158
|
|
-
|
The Edward L. Cohen 2012 Descendants
Trust
|
|
-
|
|
SS
|
|
26,316
|
|
26,316
|
|
-
|
John P. Scott
|
|
-
|
|
SS
|
|
13,158
|
|
13,158
|
|
-
|
Angela Brandenburg
|
|
-
|
|
SS
|
|
52,632
|
|
52,632
|
|
-
|
James E. Besser
|
|
-
|
|
SS
|
|
52,632
|
|
52,632
|
|
-
|
MMCAP International Inc. SPC
|
|
-
|
|
SS
|
|
163,158
|
|
163,158
|
|
-
|
MAZ Patrners LP
|
|
-
|
|
SS
|
|
50,000
|
|
50,000
|
|
-
|
Dirk Oldenburg
|
|
-
|
|
TT
|
|
80,214
|
|
80,214
|
|
-
|
MAZ Partners LP
|
|
-
|
|
TT
|
|
40,107
|
|
40,107
|
|
-
|
The Edward L. Cohen 2012 Descendants
Trust
|
|
-
|
|
TT
|
|
20,054
|
|
20,054
|
|
-
|
Angela Brandenburg
|
|
-
|
|
TT
|
|
40,107
|
|
40,107
|
|
-
|
MMCAP International Inc. SPC
|
|
-
|
|
TT
|
|
401,069
|
|
401,069
|
|
-
|
Tom Ulie
|
|
-
|
|
TT
|
|
100,268
|
|
100,268
|
|
-
|
Puritan Partners LLC
|
|
-
|
|
TT
|
|
80,214
|
|
80,214
|
|
-
|
National Bank Financial Inc. ITF Alpha Partners Fund
Inc.
|
|
-
|
|
TT
|
|
100,268
|
|
100,268
|
|
-
|
William Hunnicutt
|
|
-
|
|
TT
|
|
20,054
|
|
20,054
|
|
-
|
Brant
Investments Limited
|
|
-
|
|
TT
|
|
37,500
|
|
37,500
|
|
-
|
Duncree Holdings Inc.
|
|
-
|
|
TT
|
|
80,214
|
|
80,214
|
|
-
|
National Bank Financial Inc.
|
|
-
|
|
TT
|
|
120,321
|
|
120,321
|
|
-
|
Howard Jonas
|
|
-
|
|
TT
|
|
40,107
|
|
40,107
|
|
-
|
EIM
Nominees Limited
|
|
-
|
|
TT
|
|
30,080
|
|
30,080
|
|
-
|
Felicia Ross
|
|
-
|
|
TT
|
|
20,250
|
|
20,250
|
|
-
|
Dirk Oldenburg
|
|
-
|
|
UU
|
|
55,787
|
|
55,787
|
|
-
|
de Clara Trust
|
|
-
|
|
UU
|
|
21,834
|
|
21,834
|
|
-
|
Kircos Family Revocable Inheritance
Trust dated 8/8/13
|
|
-
|
|
UU
|
|
8,734
|
|
8,734
|
|
-
|
J.A. Wampler
|
|
-
|
|
UU
|
|
8,734
|
|
8,734
|
|
-
|
Edward Renzelli
|
|
-
|
|
UU
|
|
4,367
|
|
4,367
|
|
-
|
Allen H. Van Dyke
|
|
-
|
|
UU
|
|
2,183
|
|
2,183
|
|
-
|
Tom Ulie
|
|
-
|
|
UU
|
|
38,319
|
|
38,319
|
|
-
|
Shea Hughes
|
|
-
|
|
UU
|
|
8,734
|
|
8,734
|
|
-
|
Patricia B.Prichep
|
|
-
|
|
UU
|
|
2,183
|
|
2,183
|
|
-
|
Geert Kersten
|
|
-
|
|
UU
|
|
29,586
|
|
29,586
|
|
-
|
Harald Wengust
|
|
-
|
|
UU
|
|
7,101
|
|
7,101
|
|
-
|
Intracoastal Capital, LLC
|
|
-
|
|
VV
|
|
915,000
|
|
915,000
|
|
-
|
Bigger Capital Fund, LP
|
|
-
|
|
VV
|
|
250,000
|
|
250,000
|
|
-
|
Hudson Bay Master Fund Ltd.
|
|
-
|
|
VV
|
|
975,000
|
|
975,000
|
|
-
|
Noam Rubinstein
|
|
-
|
|
WW
|
|
61,425
|
|
61,425
|
|
-
|
Mark Viklund
|
|
-
|
|
WW
|
|
5,850
|
|
5,850
|
|
-
|
Charles Worthman
|
|
-
|
|
WW
|
|
1,950
|
|
1,950
|
|
-
|
Name of Shareholder
|
|
Controlling Person
|
Ergomed
|
|
Stephen
Stamp
|
Anson Investments Master Fund LP
|
|
Amin
Nathoo
|
Intracoastal Capital, LLC
|
|
Keith
Goodman
|
Sabby Volatility Warrant Master Fund, Ltd.
|
|
Robert
Grundstein
|
Sabby Healthcare Master Fund, Ltd.
|
|
Robert
Grundstein
|
E-Consult KFT
|
|
Heinz
Matthies
|
de Clara Trust
|
|
Ralf
Brandenburg
|
The Edward L. Cohen 2012 Descendants Trust
|
|
Debra
Lerner Cohen and Jeffrey B. Stern
|
Kircos Family Revocable Trust
|
|
Marc
Kircos
|
CVI Investments, Inc.
|
|
Martin
Kobinger
|
Hudson Bay Master Fund Ltd.
|
|
George
Antonopoulos
|
EIM
Nominees Limited
|
|
Paul
Whiteman
|
MMCAP
International Inc. SPC
|
|
Hillel
Meltz
|
MAZ
Partners LP
|
|
Walter
Schenker
|
National Bank Financial Inc./ITF Alpha Partners Fund
Inc.
|
|
Steve
Palmer
|
National Bank Financial Inc.
|
|
Charles
Marleau
|
Puritan Partners LLC
|
|
Richard
Smithline
|
Brant Investments Limited
|
|
Alfred
Wirth
|
Duncree Holdings Inc.
|
|
Timothy
Price
|
Bigger Capital Fund, LP
|
|
Michael
Bigger
|
|
Psge
|
PROSPECTUS SUMMARY
|
2
|
INCORPORATION OF DOCUMENTS BY REFERENCE
|
3
|
FORWARD LOOKING STATEMENTS
|
4
|
DILUTION
|
5
|
DESCRIPTION OF COMMON STOCK
|
5
|
SELLING SHAREHOLDER
|
5
|
AVAILABLE INFORMATION
|
10
|
SEC
Filing Fee
|
2910
|
Legal
Fees and Expenses
|
12500
|
Accounting
Fees and Expenses
|
15000
|
Miscellaneous
Expenses
|
-
|
TOTAL
|
30410
|
|
|
Note
Reference
|
Between October 17, 2016 and January 2, 2019 the Company issued
471,073 shares of its common stock to persons in consideration of
investor relations services. The 471,073 shares were valued at
approximately $1,040,776.
|
|
A,
C
|
|
|
|
On February 15, 2016 the Company sold 52,000 shares of common stock
and 26,000 warrants to a private investor for
$624,000.
|
|
A,
C
|
The warrants (Series GG through LL and Series OO through QQ)
collectively allow the holders to purchase up to 3,369,868 shares
of the Company’s common stock at prices between $3.594 and
$2.30 per share. The warrants expire on various dates between
February 2022 and February 2023.
|
|
A,
B (as to
Series
GG and
HH
Warrants)
|
|
|
|
On June 22, 2017 the Company sold convertible notes in the
principal amount of $1,510,000 to six private investors. The notes
bear interest at 4% per year and are due and payable on December
22, 2017. At the option of the note holders, the notes can be
converted into shares of the Company’s common stock at a
conversion rate of $1.69. The purchasers of the convertible notes
also received warrants (Series MM) which entitle the purchasers to
acquire up to 893,491 shares of the Company’s common stock.
The warrants are exercisable at a price of $1.86 per share and
expire on June 22, 2022.
|
|
B,
C
|
|
|
|
On July 24, 2017 the Company sold convertible notes in the
principal amount of $1,235,000 to twelve private investors. The
notes bear interest at 4% per year and are due and payable on
December 22, 2017. At the option of the note holders, the notes can
be converted into shares of the Company’s common stock at a
conversion rate of $2.29. The purchasers of the convertible notes
also received warrants (Series NN) which entitle the purchasers to
acquire up to 539,300 shares of the Company’s common stock.
The warrants are exercisable at a price of $2.52 per share and
expire on July 24, 2022.
|
|
A,
C
|
|
|
|
On July
26, 2017, the Company sold 100,000 shares of its common stock to an
accredited investor at a price of $2.29 per share in a registered
offering. The Company also issued to the investor in this offering
warrants (Series OO) to purchase 60,000 shares of the
Company’s common stock. The warrants can be exercised at a
price of $2.52 per share at any time on or after January 31, 2018
and on or before July 31, 2022.
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A
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As of August 18, 2017 the Company was indebted to Ergomed, plc for
services provided by Ergomed in connection with the Company’s
Phase III clinical trials. On August 18, 2017 the Company issued
Ergomed 480,000 shares of its common stock in partial payment of
the amount the Company owed Ergomed.
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A,
C
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On
August 22, 2017, the Company sold 1,750,000 registered shares of
common stock and warrants (Series PP) to purchase 1,750,000
unregistered shares of the Company’s common stock at a
combined offering price of $2.00 per share and warrant. The Series
PP warrants have an exercise price of $2.30 per share, are
exercisable on February 28, 2018 and expire on February 28, 2023.
In addition, the Company issued warrants (Series QQ) to purchase
87,500 shares of unregistered common stock to the placement agent
for this financing. The Series QQ warrants have an exercise price
of $2.50, are exercisable on February 22, 2018 and expire on August
22, 2022.
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A
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On November 2, 2017 holders of convertible notes in the principal
amount of $1,059,300 sold in June 2017 and holders of convertible
notes in the principal amount of $1,235,000 sold in July 2017
agreed to extend the maturity date of these notes to September 21,
2018. In consideration for the extension of the maturity date of
the convertible notes, the Company issued a total of 583,057 Series
RR warrants to the convertible note holders that agreed to the
extension. Each Series RR warrant entitles the holder to purchase
one share of the Company's common stock. The Series RR warrants may
be exercised at any time on or before October 30, 2022 at an
exercise price of $1.65 per share.
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A,C
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On
December 19, 2017 the Company sold 1,289,478 shares of common stock
for $2,450,000 to 19 private investors. The purchasers of the
common stock also received warrants (Series SS) which entitle the
purchasers to acquire up to 1,289,478 shares of the Company’s
common stock. The warrants are exercisable at a price of $2.09 per
share and expire on December 18, 2022.
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A,
C
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As of December 31, 2017 the Company was indebted to Ergomed, plc
for services provided by Ergomed in connection with the
Company’s Phase III clinical trials. On January 1, 2018 the
Company issued Ergomed 660,000 shares of its common stock in
partial payment of the amount the Company owed
Ergomed.
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A,
C
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On
February 5, 2018 the Company sold 2,501,145 shares of common stock
for $4,677,140 to 20 private investors. The purchasers of the
common stock also received warrants (Series TT) which entitle the
purchasers to acquire up to 1,875,860 shares of the Company’s
common stock. The Series TT warrants have an exercise price of
$2.24, are exercisable on August 6, 2018 and expire on February 5,
2023.
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A,
C
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As of May 15, 2018 the Company was indebted to Ergomed, plc for
services provided by Ergomed in connection with the Company’s
Phase III clinical trials. On May 16, 2018 the Company issued
Ergomed 600,000 shares of its common stock in partial payment of
the amount the Company owed Ergomed.
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A, C
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On June 11, 2018 holders of notes in the principal amount of
$1,860,000 converted their notes into 937,804 shares of the
Company’s common stock. The Company issued 28,825 shares of
its common stock for $80,710 in accrued but unpaid interest on the
notes.
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A, C
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On July 2, 2018, the Company sold 3,900,000 shares of its common
stock for aggregate gross proceeds of $5,070,000, or $1.30 per
share, in a registered direct offering. In a concurrent private
placement, the Company issued warrants (Series VV) to purchase
3,900,000 shares of CEL-SCI’s common stock. The warrants can
be exercised at a price of $1.75 per share, commencing six months
after the date of issuance and ending five and a half years after
the date of issuance. In addition, the Company issue
warrants to purchase up to 195,000 shares of CEL-SCI’s common
stock to the Placement Agent (Series WW). The Series WW warrants
are subject to a 180-day lock-up and may be exercised at any time
on or after January 2, 2019 and on or before June 28, 2023 at a
price of $1.625 per share.
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A
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On August 13, 2018, the Company sold 463,855 shares of its common
stock for aggregate gross proceeds of $385,000, or $0.83 per share,
in a private placement to four officers of the
Company.
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A, C
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As of August 29, 2018, the Company was indebted to Ergomed, plc for
services provided by Ergomed in connection with the Company’s
Phase III clinical trial. On August 30, 2018 the Company issued
Ergomed 1,000,000 shares of its common stock in payment of the
amounts it owed Ergomed.
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A, C
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As of January 8, 2019, the Company had outstanding payables to
Ergomed, plc for services provided by Ergomed in connection with
the Company’s Phase III clinical trial. On January 9, 2019
the Company issued Ergomed 500,000 shares of its common stock in
payment of the amounts it owed Ergomed.
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A, C
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Exhibits
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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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Amended
Bylaws
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Incorporated by
reference to Exhibit 3(ii) of CEL-SCI’s report on Form 8-K
dated March 16, 2015.
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Shareholders Rights
Agreement, as Amended
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Incorporated by
reference to Exhibit 4 filed with CEL-SCI’s 10-K report
for the year ended September 30, 2015.
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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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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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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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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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2014 Incentive
Stock Bonus Plan
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Incorporated by
reference to Exhibit 4 (c) filed with the Company’s
registration statement on Form S-8 (333-198244).
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Legal
Opinion
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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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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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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(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(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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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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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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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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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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Underwriting
Agreement, together with the form of Series S warrant which is an
exhibit to the warrant agent agreement
|
Incorporated by
reference to Exhibit 1.1 of CEL-SCI’s report on Form 8-K
dated October 23, 2014.
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Assignment and
Assumption Agreement with Teva Pharmaceutical Industries, Ltd. and
GCP Clinical Studies, Ltd.
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Incorporated by
reference to Exhibit 10(rr) of CEL-SCI’s report on Form
10-K/A report for the year ended September 30, 2014 dated
April 17, 2015.
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Service Agreement
with GCP Clinical Studies, Ltd., together with Amendment 1
thereto*
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Incorporated by
reference to Exhibit 10(ss) of CEL-SCI’s first amendment to
its Form 10-K report for the year ended September 30, 2014
dated April 17, 2015.
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Joinder Agreement
with PLIVA Hrvatska d.o.o.
|
Incorporated by
reference to Exhibit 10(tt) of CEL-SCI’s first amendment to
its Form 10-K report for the year ended September 30, 2014
dated April 17, 2015.
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Master Service
Agreement with Ergomed Clinical Research, Ltd., and
Clinical Trial Orders thereunder
|
Incorporated by
reference to Exhibit 10(uu) of CEL-SCI’s first amendment to
its Form 10-K report for the year ended September 30, 2014
dated April 17, 2015.
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Co-Development and
Revenue Sharing Agreement with Ergomed Clinical Research Ltd.,
dated April 19, 2013, as amended
|
Incorporated by
reference to Exhibit 10(vv) of CEL-SCI’s first amendment to
its Form 10-K report for the year ended September 30, 2014
dated April 17, 2015.
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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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Incorporated by
reference to Exhibit 10(ww) of CEL- first amendment to its Form
10-K report for the year ended September 30, 2014 dated April
17, 2015.
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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
|
Incorporated by
reference to Exhibit 10(xx) of CEL-SCI’s first amendment to
its Form 10-K report for the year ended September 30, 2014
dated April 17, 2015.
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Master Services
Agreement with Aptiv Solutions, Inc.
|
Incorporated by
reference to Exhibit 10(yy) of CEL-SCI’s first amendment to
its Form 10-K report for the year ended September 30, 2014
dated April 17, 2015.
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Project Agreement
Number 1 with Aptiv Solutions, Inc. together with Amendments 1 and
2 thereto*
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Incorporated by
reference to Exhibit 10(zz) of CEL-SCI’s first amendment to
its Form 10-K report for the year ended September 30, 2014
dated April 17, 2015.
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Second Amendment to
Development Supply and Distribution Agreement with Orient
Europharma
|
Incorporated by
reference to Exhibit 10(aaa) of CEL-SCI’s first amendment to
its Form 10-K report for the year ended September 30, 2014
dated April 17, 2015.
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Warrant Agent
Agreement (as amended), Series V warrants
|
Incorporated by
reference to Exhibit 10 (ccc) of CEL-SCI’s report on Form 8-K
filed on May 29, 2015.
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Assignment of
Proceeds and Investment Agreement between CEL-SCI Corporation and
Lake Whillans Vehicle 1.
|
Incorporated by
reference to Exhibit 10 (ddd) of CEL-SCI’s report on Form 8-K
filed on October 16, 2015.
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Warrant Agent
Agreement, Series W warrants
|
Incorporated by
reference to Exhibit 10 (eee) of CEL-SCI’s report on Form 8-K
filed on October 23, 2015.
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Amendment to
Co-Development and Revenue Sharing Agreement
with Ergomed Clinical Research, Ltd.,
dated September 15, 2015
|
Incorporated by
reference to Exhibit 10 (iii) filed with CEL-SCI’s 10-K
report for the year ended September 30, 2015.
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Securities Purchase
Agreement
|
Incorporated by
reference to Exhibit 10(jjj) of CEL-SCI’s report on Form 8-K
dated May 19, 2016.
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||
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Securities Purchase
Agreement
|
Incorporated by
reference to Exhibit 10(kkk) of CEL-SCI’s report on Form 8-K
dated August 24, 2016.
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Termination
Agreement with Maximilian de Clara
|
Incorporated by
reference to Exhibit 10(lll) of CEL-SCI’s report on Form 8-K
dated September 2, 2016.
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Employment
Agreement with Geert Kersten (2016-2019)
|
Incorporated by
reference to Exhibit 10(mmm) of CEL-SCI’s report on Form 8-K
dated September 2, 2016.
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Employment
Agreement with Patricia Prichep (2016-2019)
|
Incorporated by
reference to Exhibit 10(nnn) of CEL-SCI’s report on Form 8-K
dated September 2, 2016.
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Employment
Agreement with Eyal Taylor (2016-2019)
|
Incorporated by
reference to Exhibit 10(ooo) of CEL-SCI’s report on Form 8-K
dated September 2, 2016.
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Securities Purchase
Agreement
|
Incorporated by
reference to Exhibit 10(ppp) of CEL-SCI’s report on Form 8-K
dated December 1, 2016.
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Securities Purchase
Agreement
|
Incorporated by
reference to Exhibit 10(qqq) of CEL-SCI’s report on Form 8-K
dated February 16, 2017.
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|
Securities Purchase
Agreement
|
Incorporated by
reference to Exhibit 10(rrr) of CEL-SCI’s report on Form 8-K
dated March 8, 2017.
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Securities Purchase
Agreement
|
Incorporated by
reference to Exhibit 10(sss) of CEL-SCI’s report on Form 8-K
dated April 30, 2017.
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Securities Purchase
Agreement (sale of 100,000 shares to private investor, plus Series
OO warrants).
|
Incorporated by
reference to Exhibit 10(ttt) of CEL-SCI’s report on Form 8-K
dated July 27, 2017.
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Securities Purchase
Agreement with Ergomed
|
Incorporated by
reference to Exhibit 10(uuu) of CEL-SCI’s report on Form 8-K
dated August 17, 2017.
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Securities Purchase
Agreement
|
Incorporated by
reference to Exhibit 10(vvv) of CEL-SCI’s report on Form 8-K
dated August 22, 2017.
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Amendment No. 1 to
Assignment of Proceeds and Investment Agreement
|
Incorporated by
reference to Exhibit 10(www) of CEL-SCI’s report on Form 8-K
dated November 2, 2017.
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Amendment to
Convertible Promissory Notes
|
Incorporated by
reference to Exhibit 10(xxx) of CEL-SCI’s registration
statement on Form S-1 dated January 5, 2018.
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Securities Purchase
Agreement with Ergomed
|
Incorporated by
reference to Exhibit 10(zzz) of CEL-SCI’s report on Form 8-K
dated January 1, 2018.
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Securities Purchase
Agreements (December 2017 Financing)
|
Incorporated by
reference to Exhibit 10.1 of CEL-SCI’s registration statement
on Form S-1 dated January 5, 2018.
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Securities Purchase
Agreements (February 2018
Financing)
|
Incorporated by
reference to Exhibit 10.1 of CEL-SCI’s registration statement
on Form S-1 dated February 14, 2018.
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Securities Purchase
Agreement with Ergomed
|
Incorporated by
reference to Exhibit 10.3 of CEL-SCI’s report on Form 8-K
dated May 21, 2018.
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Securities Purchase
Agreement
|
Incorporated by
reference to Exhibit 10.4 of CEL-SCI’s report on Form 8-K
dated June 29, 2018.
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Securities Purchase
Agreement
|
Incorporated by
reference to Exhibit 10.5 of CEL-SCI’s report on Form 8-K
dated August 31, 2018.
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Consent of Hart
& Hart, LLC
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Consent of BDO USA,
LLP
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CEL-SCI CORPORATION |
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By:
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/s/
Geert
Kersten
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Geert
Kersten
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Chief
Executive, Financial and Accounting
Officer
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Signature
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Title
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Date
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/s/
Geert Kersten
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Chief
Executive, Financial and Accounting Officer and a
Director
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|
January
18, 2019
|
Geert
Kersten
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/s/
Peter Young
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Director
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January
18, 2019
|
Peter
R. Young Ph.D
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/s/
Bruno Baillavoine
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Director
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January
18, 2019
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Bruno
Baillavoine
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/s/
Robert Watson
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Director
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|
January
18, 2019
|
Robert
Watson
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