0001144204-18-007132.txt : 20180212 0001144204-18-007132.hdr.sgml : 20180212 20180212101916 ACCESSION NUMBER: 0001144204-18-007132 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180208 FILED AS OF DATE: 20180212 DATE AS OF CHANGE: 20180212 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KLING ARNOLD P CENTRAL INDEX KEY: 0001276711 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28385 FILM NUMBER: 18594492 MAIL ADDRESS: STREET 1: C/O ADELPHIA HOLDINGS LLC STREET 2: 545 MADISON AVE 6TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 131 COLUMBIA TURNPIKE STREET 2: SUITE 1 CITY: FLORHAM PARK STATE: NJ ZIP: 07932 BUSINESS PHONE: 215-862-9720 MAIL ADDRESS: STREET 1: 131 COLUMBIA TURNPIKE STREET 2: SUITE 1 CITY: FLORHAM PARK STATE: NJ ZIP: 07932 4 1 tv485521_form4.xml FORM 4 X0306 4 2018-02-08 0 0001099215 PROTALEX INC PRTX 0001276711 KLING ARNOLD P 410 PARK AVENUE SUITE 1710 NEW YORK NY 10022 1 1 1 0 President Common Stock 22576087 I By LLC Common Stock 5000 D Common Stock 62 I By wife as UGMA custodian Options 0.54 2018-02-08 4 A 0 600000 0 A 2018-02-08 2023-02-08 Common Stock 600000 600000 D These securities are owned directly by Niobe Ventures, LLC and indirectly by Arnold P. Kling as manager of the LLC. These securities are beneficially owned solely by Arnold P. Kling. 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. Granted 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. /s/ Arnold P. Kling, individually 2018-02-12