Amended Quarterly Report (10-q/a)
May 14 2019 - 4:58PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM 10-Q/A
(Amendment No.1)
(Mark
One)
☒
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF
THE
SECURITIES EXCHANGE ACT OF 1934
For the
quarterly period ended March 31, 2019
OR
☐
TRANSITION REPORT
PURSUANT TO SECTION 13 OR 15 (d) OF
THE
SECURITIES EXCHANGE ACT OF 1934
For the
transition period from _______________ to
______________.
Commission
File Number 001-11889
CEL-SCI CORPORATION
Colorado
|
|
84-0916344
|
State
or other jurisdiction incorporation
|
|
(IRS)
Employer Identification Number
|
8229
Boone Boulevard, Suite 802
Vienna,
Virginia 22182
Address
of principal executive offices
(703)
506-9460
Registrant's
telephone number, including area code
Indicate
by check mark whether the Registrant (1) has filed all reports
required to be filed by Section 13 or 15(d) of the Securities
Exchange Act of 1934 during the preceding 12 months (or for such
shorter period that the Registrant was required to file such
reports) and (2) had been subject to such filing requirements for
the past 90 days.
Yes
☒
No
☐
Indicate
by check mark whether the registrant has submitted electronically
and posted on its corporate Web site, if any, every Interactive
Data File required to be submitted and posted pursuant to Rule 405
of Regulation S-T (§232.405 of this chapter) during the
preceding 12 months (or for such shorter period that the registrant
was required to submit and post such files). Yes
☒
No
☐
Indicate
by check mark whether the Registrant is a large accelerated filer,
an accelerated filer, a non-accelerated filer, a smaller reporting
company or an emerging growth company. See the definitions of
“large accelerated filer,” “accelerated
filer”, “smaller reporting company” and
“emerging growth company” in Rule 12b-2 of the Exchange
Act. (Check One):
Large accelerated filer
|
☐
|
Accelerated filer
|
☐
|
Non-accelerated
filer
|
☒
|
Smaller reporting company
|
☒
|
|
|
Emerging
growth company
|
☐
|
If an
emerging growth company, indicate by check mark if the registrant
has elected not to use the extended transition period for complying
with any new or revised financial accounting standards provided
pursuant to Section 13(a) of the Exchange Act.
☐
Indicate
by check mark whether the Registrant is a shell company (as defined
in Exchange Act Rule 12b-2 of the Exchange Act). Yes
☐
No
☒
Class
of Stock
|
No.
Shares Outstanding
|
Date
|
Common
|
33,702,852
|
May 9,
2019
|
Securities registered pursuant to Section 12(b) of the
Act:
Title
of each class
|
Trading
Symbol(s)
|
Name of each exchange on which registered
|
Common
Stock
|
CVM
|
NYSE
American
|
Explanatory Note
The purpose of the Amendment No. 1 on Form 10–Q/A to CEL-SCI
CORPORATION’s annual report of Form 10–Q for the period
ended March 31, 2019, filed with the Securities and Exchange
Commission on May 14, 2019 (the “Form 10–Q”), is
solely to furnish Exhibit 101 to the Form 10–Q in accordance
with Rule 405 of Regulation S–T.
No other changes have been made to the Form 10–Q. This
Amendment No. 1 speaks as of the original filing date of the Form
10–Q, does not reflect events that may have occurred
subsequent to the original filing date and does not modify or
update in any way disclosures made in the original Form
10–Q.
Number
Exhibit
Rule 13a-14(a)
Certifications
Section 1350
Certifications
SIGNATURES
Pursuant to the
requirements of the Securities Exchange Act of 1934, the Registrant
has duly caused this report to be signed on its behalf by the
undersigned thereunto duly authorized.
|
CEL-SCI
CORPORATION
|
|
|
|
|
|
Date:
May 14, 2019
|
By:
|
/s/
Geert
Kersten
|
|
|
|
Geert
Kersten
|
|
|
|
Principal Executive
Officer*
|
|
* Also signing in
the capacity of the Principal Accounting and Financial
Officer.
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