SEC Form 4 · accession 0001140361-15-026875
PROTALEX INC · PRTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kirk M Warshaw
Officer — Chief Financial Officer
Period of report
Jul 1, 2015
Accepted (ET)
Jul 7, 2015 · 12:51 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001099215
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionF4 | $5.41 | Jul 1, 2015 | A | 250,000 | A | Jul 1, 2015 | Jul 1, 2020 | Common Stock | 250,000 | 250,000 | D |
| OptionF1 | $1.05 | holding | — | — | — | — | May 21, 2023 | Common Stock | 350,000 | 350,000 | D |
| OptionF2 | $1.01 | holding | — | — | — | — | Nov 1, 2021 | Common Stock | 250,000 | 250,000 | D |
| OptionF3,F2 | $0.25 | holding | — | — | — | — | Dec 29, 2019 | Common Stock | 750,543 | 750,543 | D |
| Option | $6.00 | holding | — | — | — | Nov 4, 2014 | Nov 4, 2024 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1Granted on May 22, 2013 (the "Grant Date"), this option is exercisable to acquire 50% of the underlying shares on the Grant Date and 100% of the underlying shares on the six-month anniversary of Grant Date.
- F2Immediately.
- F3Adjusted to reflect a 1 for 5 reverse split of the issuer's outstanding common stock on December 8, 2010.
- F4Granted on July 1, 2015 (the "July Grant Date"), this option is exercisable to acquire 50% of the underlying shares on the Grant Date and 100% of the underlying shares on the 1st anniversary of July Grant Date.