4//SEC Filing
KLING ARNOLD P 4
Accession 0001140361-11-008528
CIK 0001099215other
Filed
Feb 13, 7:00 PM ET
Accepted
Feb 14, 10:12 AM ET
Size
13.6 KB
Accession
0001140361-11-008528
Insider Transaction Report
Form 4
PROTALEX INCPRTX
KLING ARNOLD P
Director10% Owner
Transactions
- Conversion
Common Stock
2011-02-11$0.23/sh+4,347,826$1,000,000→ 13,043,478 total(indirect: By LLC) - Purchase
3% Convertible Note
2011-02-11$2000000.00/sh(indirect: By LLC)Exercise: $0.23From: 2011-02-11Exp: 2012-12-31→ common stock - Conversion
3% Convertible Note
2011-02-11(indirect: By LLC)Exercise: $0.23From: 2009-11-11Exp: 2012-11-13→ common stock
Holdings
- 5,000
Common Stock
- 62(indirect: By Spouse)
Common Stock
NIOBE VENTURES, LLC
10% Owner
Transactions
- Conversion
Common Stock
2011-02-11$0.23/sh+4,347,826$1,000,000→ 13,043,478 total(indirect: By LLC) - Purchase
3% Convertible Note
2011-02-11$2000000.00/sh(indirect: By LLC)Exercise: $0.23From: 2011-02-11Exp: 2012-12-31→ common stock - Conversion
3% Convertible Note
2011-02-11(indirect: By LLC)Exercise: $0.23From: 2009-11-11Exp: 2012-11-13→ common stock
Holdings
- 5,000
Common Stock
- 62(indirect: By Spouse)
Common Stock
Footnotes (4)
- [F1]These securities are beneficially owned solely by Arnold P. Kling.
- [F2]These securities are owned directly by Niobe Ventures, LLC and indirectly by Arnold P. Kling as manager of the LLC.
- [F3]These shares are beneficially owned by Arnold P. Kling's wife as custodian for their children under the Uniform Gifts to Minors Act. Mr. Kling disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for the purposes of Section 16 or for any other purpose.
- [F4]After adjustment for a 1 for 5 reverse split of the Issuer's common stock effective as of December 8, 2010.
Documents
Issuer
PROTALEX INC
CIK 0001099215
Entity typeother
Related Parties
1- filerCIK 0001276711
Filing Metadata
- Form type
- 4
- Filed
- Feb 13, 7:00 PM ET
- Accepted
- Feb 14, 10:12 AM ET
- Size
- 13.6 KB