-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RRdlt7Ul9YZOuLuCEh0M3/ZOApi7nf0/GeELT3nyxMgD9BcE0CfzHIkZ5/5MXPfT xGxQYbWGL7+M4BBAkI2WDw== 0000910643-00-000054.txt : 20000404 0000910643-00-000054.hdr.sgml : 20000404 ACCESSION NUMBER: 0000910643-00-000054 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000403 GROUP MEMBERS: DONALD R. MORKEN GROUP MEMBERS: GENESEE INTERNATIONAL INC GROUP MEMBERS: GENESEE INTERNATIONAL, INC. SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-35386 FILM NUMBER: 592669 BUSINESS ADDRESS: STREET 1: 8229 BOONE BLVD STE 510 CITY: VIENNA STATE: VA ZIP: 22182 BUSINESS PHONE: 7035495293 MAIL ADDRESS: STREET 1: 8229 BOONE BLVD STE 802 CITY: VIENNA STATE: VA ZIP: 22182 FORMER COMPANY: FORMER CONFORMED NAME: INTERLEUKIN 2 INC DATE OF NAME CHANGE: 19880317 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GENESEE INTERNATIONAL INC CENTRAL INDEX KEY: 0001057815 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 223037722 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: CITCO BUILDING WICKHAMS CAY STREET 2: P O BOX 662 ROAD TOWN TORTOLA CITY: BRITISH VIRGIN ISLAN BUSINESS PHONE: 2844942217 MAIL ADDRESS: STREET 1: CITCO BUILDING WICKHAMS CAY STREET 2: P O BOX 662 RD TOWN TORTOLA CITY: BRITISH VIRGIN ISLAN SC 13G/A 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. __________)* Cel-Sci Corporation - ----------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 par value per share - ----------------------------------------------------------------------------- (Title of Class of Securities) 150837 40 9 -------------------- (CUSIP Number) March 21, 2000 - ----------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 10 _____________________________________________________________________________ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities Only) Advantage Fund II Ltd. _____________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] _____________________________________________________________________________ 3 SEC USE ONLY _____________________________________________________________________________ 4 CITIZENSHIP OR PLACE OF ORGANIZATION British Virgin Islands _____________________________________________________________________________ 5 SOLE VOTING POWER NUMBER OF -0- SHARES ______________________________________________________________ BENEFICIALLY 6 SHARED VOTING POWER 1,568,570 shares of Common Stock (see Item 4(a)) OWNED BY ______________________________________________________________ EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- ______________________________________________________________ PERSON 8 SHARED DISPOSITIVE POWER 1,568,570 shares of Common Stock (see Item 4(a)) WITH _____________________________________________________________________________ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,568,570 shares of Common Stock (see Item 4(a)) _____________________________________________________________________________ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] _____________________________________________________________________________ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.68% (see Item 4(a)) _____________________________________________________________________________ 12 TYPE OF REPORTING PERSON* CO _____________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT Page 2 of 10 _____________________________________________________________________________ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Genesee International, Inc. _____________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] (See Item 6) _____________________________________________________________________________ 3 SEC USE ONLY _____________________________________________________________________________ 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware _____________________________________________________________________________ 5 SOLE VOTING POWER NUMBER OF -0- SHARES ______________________________________________________________ BENEFICIALLY 6 SHARED VOTING POWER 1,568,570 shares of Common Stock (see Item 4(a)) OWNED BY ______________________________________________________________ EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- ______________________________________________________________ PERSON 8 SHARED DISPOSITIVE POWER 1,568,570 shares of Common Stock (see Item 4(a)) WITH _____________________________________________________________________________ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,568,570 shares of Common Stock (see Item 4(a)) _____________________________________________________________________________ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] _____________________________________________________________________________ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.68% (see Item 4(a)) _____________________________________________________________________________ 12 TYPE OF REPORTING PERSON* CO _____________________________________________________________________________ Page 3 of 10 _____________________________________________________________________________ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities Only) Donald R. Morken _____________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] (See Item 6) _____________________________________________________________________________ 3 SEC USE ONLY _____________________________________________________________________________ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America _____________________________________________________________________________ 5 SOLE VOTING POWER NUMBER OF -0- SHARES ______________________________________________________________ BENEFICIALLY 6 SHARED VOTING POWER 1,568,570 shares of Common Stock (see Item 4(a)) OWNED BY ______________________________________________________________ EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- ______________________________________________________________ PERSON 8 SHARED DISPOSITIVE POWER 1,568,570 shares of Common Stock (see Item 4(a)) WITH _____________________________________________________________________________ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,568,570 shares of Common Stock (see Item 4(a)) _____________________________________________________________________________ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] _____________________________________________________________________________ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.68% (sese Item 4(a)) _____________________________________________________________________________ 12 TYPE OF REPORTING PERSON* IN _____________________________________________________________________________ Page 4 of 10 Item 1(a). Name of Issuer: Cel-Sci Corporation (the "Corporation"). Item 1(b). Address of Issuer's Principal Executive Offices: 8229 Boone Boulevard, Suite 802, Vienna, Virginia 22182. Item 2(a). Name of Person Filing: Advantage Fund II Ltd. ("Advantage") Genesee International, Inc. ("Genesee") Donald R. Morken ("Morken") Item 2(b). Address of Principal Business Office or, if None, Residence: Advantage - C/O CITCO, Kaya Flamboyan 9, Curacao, Netherlands Antilles. Genesee - CITCO Building, Wickhams Cay, P.O.Box 662, Road Town, Tortola, British Virgin Islands. Morken - 10500 N.E. 8th Street, Suite 1920, Bellevue, Washington 98004-4332. Item 2(c). Citizenship: Advantage - British Virgin Islands. Genesee - Delaware. Morken - United States of America. Item 2(d). Title of Class of Securities: Common Stock, par value $.01 per share of the Company (the "Common Stock"). Item 2(e). CUSIP Number: 150837 40 9 Item 3. If This Statement Is Filed Pursuant to Rules 13d-1(b), or 13d- 2(b) or (c), Check Whether the Person Filing is a: (a) [ ] Broker or dealer registered under Section 15 of the Exchange Act; (b) [ ] Bank as defined in Section 3(a)(6) of the Exchange Act; (c) [ ] Insurance company as defined in Section 3(a)(19) of the Exchange Act; (d) [ ] Investment company registered under Section 8 of the Investment Company Act; (e) [ ] An investment advisor in accordance with Rule 13d- 1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. [X] Item 4. Ownership. Provide the following information regarding the aggregate number and percentages of securities of the issuer identified in Item 1. Page 5 of 10 (a) Amount beneficially owned:* 1,568,570 shares of Common Stock. (b) Percent of class: 7.68% (based on 20,415,706 shares of Common Stock outstanding as of March 24, 2000 as reported in the Company's S-3/A filed by the Company on March 28, 2000). (c) Number of shares to which such person has: (i) Sole power to vote or direct the vote: -0- (ii) Shared power to vote or direct the vote: 1,568,570 shares of Common Stock* (iii) Sole power to dispose or to direct the disposition of: -0- (iv) Shared power to dispose or direct the disposition of: 1,568,570 shares of Common Stock* Item 5. Ownership of Five Percent or Less of a Class. N/A Item 6. Ownership of More than Five Percent on Behalf of Another Person. N/A Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on the Parent Holding Company. N/A - ----------------- * Shares beneficially owned reported as at close of business on March 30, 2000. Excludes 287,179 shares of Common Stock issuable upon exercise of a warrant issued to Advantage on December 8, 1999 which restricts Advantage's ability to exercise it to the extent that such exercise would result in Advantage owning, together with any affiliate thereof, in excess of 4.999% of the outstanding shares of Common Stock following such exercise. Page 6 of 10 Item 8. Identification and Classification of Members of the Group. N/A Item 9. Notice of Dissolution of Group. N/A Item 10. Certification. By signing below, the undersigned certify that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having such purpose or effect. Page 7 of 10 Exhibits: Exhibit I: Joint Filing Agreement, dated as of March 31, 2000, by and among Advantage, Genesee and Morken. Page 8 of 10 Exhibit I JOINT FILING AGREEMENT This will confirm the agreement by and among the undersigned that the Schedule 13G filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial ownership of the undersigned of the Common Shares, $.01 par value per share, of Cel-Sci Corporation, a Colorado corporation, is being filed, and all amendments thereto will be filed, on behalf of each of the persons and entities named below in accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended. This Agreement may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. Dated as of March 31, 2000. ADVANTAGE FUND II LTD. By: GENESEE INTERNATIONAL, INC. As General Manager /s/ Donald R. Morken ---------------------------- By: Donald R. Morken Title: President GENESEE INTERNATIONAL, INC. /s/ Donald R. Morken --------------------------------- By: Donald R. Morken Title: President DONALD R. MORKEN /s/ Donald R. Morken --------------------------------- Page 9 of 10 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. By: GENESEE INTERNATIONAL, INC. As General Manager /s/ Donald R. Morken ---------------------------- By: Donald R. Morken Title: President GENESEE INTERNATIONAL, INC. /s/ Donald R. Morken --------------------------------- By: Donald R. Morken Title: President DONALD R. MORKEN /s/ Donald R. Morken --------------------------------- Page 10 of 10 -----END PRIVACY-ENHANCED MESSAGE-----