0001144204-18-012529.txt : 20180302 0001144204-18-012529.hdr.sgml : 20180302 20180302160519 ACCESSION NUMBER: 0001144204-18-012529 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180228 FILED AS OF DATE: 20180302 DATE AS OF CHANGE: 20180302 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ELSER MARCO M CENTRAL INDEX KEY: 0001321913 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28385 FILM NUMBER: 18661922 MAIL ADDRESS: STREET 1: VIA SISTINA 121 CITY: ROME STATE: L6 ZIP: 00187 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 tv487141_form4.xml FORM 4 X0306 4 2018-02-28 0 0001099215 PROTALEX INC PRTX 0001321913 ELSER MARCO M C/O PROTALEX, INC. 131 COLUMBIA TURNPIKE, SUITE 1 FLORHAM PARK NJ 07932 1 0 0 0 Common Stock 17000 I By Elser & Company Limited Common Stock 17000 I By Carlisle Investments Inc. 10% Senior Convertible Note due 2023 0.20 2018-02-28 4 P 0 2500000 500000 A 2018-02-28 2023-02-28 Common Stock 2500000 2500000 I By Carlisle Investments Inc. Options 0.54 2018-02-08 2023-02-08 Common Stock 300000 300000 D Options 6 2024-11-04 Common Stock 100000 100000 D Options 9 2024-02-04 Common Stock 250000 250000 D The reporting person has the sole power to vote and dispose of the securities and disclaims beneficial ownership except to the extent of his pecuniary interest in the securites. 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. Immediately. /s/ Marco M. Elser 2018-03-02