SEC Form 4 · accession 0001144204-18-007134
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
Feb 8, 2018
Accepted (ET)
Feb 12, 2018 · 10:19 am EST
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF1 | $0.54 | Feb 8, 2018 | A | 300,000 | A | Feb 8, 2018 | Feb 8, 2023 | Common Stock | 300,000 | 300,000 | D |
| OptionF2 | $5.41 | holding | — | — | — | — | Jul 1, 2020 | Common Stock | 250,000 | 250,000 | D |
| OptionF2 | $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 |
| OptionF2 | $6.00 | holding | — | — | — | — | Nov 4, 2024 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1Granted on February 8, 2018 (the "Grant Date"), this option is exercisable to acquire 50% of the underlying shares on the Grant Date and 100% of the shares on or after the one-year anniversary of the Grant Date.
- F2Immediately.
- F3Adjusted to reflect a 1 for 5 reverse split of the issuer's outstanding common stock on December 8, 2010.