-----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, FAPCyzb1s+aJGMzn8iS0S6rL1ZixZxEmZhkzRpN7z5AwvpZHmXxLPcxdYG0SiHj7 9IbLD28j6zuQOsJhMQhK5w== 0001144204-07-052448.txt : 20071002 0001144204-07-052448.hdr.sgml : 20071002 20071002164354 ACCESSION NUMBER: 0001144204-07-052448 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20071002 DATE AS OF CHANGE: 20071002 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DOHERTY JOHN E CENTRAL INDEX KEY: 0001299552 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: BUSINESS PHONE: 505.255.6636 MAIL ADDRESS: STREET 1: 1518 CORNELL N.E. CITY: ALBUQUERQUE STATE: NM ZIP: 87106 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PROTALEX INC CENTRAL INDEX KEY: 0001099215 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 912003490 STATE OF INCORPORATION: DE FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60195 FILM NUMBER: 071150343 BUSINESS ADDRESS: STREET 1: 145 UNION SQUARE DRIVE CITY: NEW HOPE STATE: PA ZIP: 18938 BUSINESS PHONE: 215-862-9720 MAIL ADDRESS: STREET 1: 145 UNION SQUARE DRIVE CITY: NEW HOPE STATE: PA ZIP: 18938 SC 13G/A 1 v089366_sc13ga.txt OMB APPROVAL ------------ OMB Number: 3235-0145 Expires: February, 28, 2009 Estimated average burden hours per response . . . 11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Protalex, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.00001 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 743642100 (CUSIP Number) October 1, 2007 - -------------------------------------------------------------------------------- (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). Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. Page 1 of 4 pages CUSIP No. 743642100 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON (ENTITIES ONLY). John E. Doherty - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 2,961,549 (1) ----------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY OWNED BY ----------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 2,961,549 (1) WITH: ----------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,961,549 (1) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.36% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- (1) Includes options to purchase 10,000 shares of our common stock and warrants to purchase 27,778 shares of our common stock exercisable within 60 days of October 1, 2007 Page 2 of 4 pages Item 1. (a) Name of Issuer Protalex, Inc. (b) Address of Issuer's Principal Executive Offices 145 Union Square Drive New Hope, PA 18938 Item 2. (a) Name of Person Filing John E. Doherty (b) Address of Principal Business Office or, if none, Residence 1518 Cornell N.E. Albuquerque, NM 87106 (c) Citizenship US. (d) Title of Class of Securities Common Stock, par value $0.00001 per share (e) CUSIP Number 743642100 Item 3. If this statement is filed pursuant to ss.ss.240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a) _____ Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) _____ Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) _____ Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) _____ Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) _____ An investment adviser in accordance with ss.240.13d-1(b)(1)(ii)(E); (f) _____ An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F); (g) _____ A parent holding company or control person in accordance with ss. 240.13d-1(b)(1)(ii)(G); (h) _____ A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) _____ A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) _____ Group, in accordance with ss.240.13d-1(b)(1)(ii)(J). Page 3 of 4 pages Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 2,961,549 (1) (b) Percent of class: 10.36%. (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 2,961,549 (1). (ii) Shared power to vote or to direct the vote ____________. (iii) Sole power to dispose or to direct the disposition of 2,961,549 (1). (iv) Shared power to dispose or to direct the disposition of ___________. Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following _____. Item 6. Ownership of More than Five Percent on Behalf of Another Person. Not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Not applicable. Item 8. Identification and Classification of Members of the Group Not applicable. Item 9. Notice of Dissolution of Group Not applicable. Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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 that purpose or effect. 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. Dated: October 2, 2007 /s/ John E. Doherty ------------------------------------ John E. Doherty Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001) Page 4 of 4 pages -----END PRIVACY-ENHANCED MESSAGE-----