UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of report (Date of earliest event reported):January 23, 2014
PROTALEX, INC.
(Exact Name of Registrant as Specified in Charter)
| DELAWARE | | 000-28385 | | 91-2003490 |
(State or Other Jurisdiction
of Incorporation) | | (Commission File Number) | | (I.R.S. Employer
Identification No.) |
| | | | | |
131 Columbia Turnpike Avenue, Suite 1 Florham Park, New Jersey | | 07932 |
| (Address of Principal Executive Offices) | | (Zip Code) |
(973) 635-4047
(Registrant’s telephone number, including area code)
133 Summit Avenue, Suite 22
Summit, New Jersey 07901
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the Registrant under any of the following provisions:
| o | Written communications pursuant to Rule 425 under the Securities Act of 1933, as amended (17 CFR 230.425) |
| | |
| o | Soliciting material pursuant to Rule 14a-12 under the Securities Exchange Act of 1934, as amended (17 CFR 240.14a-12) |
| | |
| o | Pre-commencement communications pursuant to Rule 14d-2(b) under the Securities Exchange Act of 1934, as amended (17 CFR 240.14d-2(b)) |
| | |
| o | Pre-commencement communications pursuant to Rule 13e-4(c) under the Securities Exchange Act of 1934, as amended (17 CFR 240.13e-4(c)) |
Item 8.01. Other Events.
On January 23, 2014, Protalex, Inc. announced the consummation of a private placement financing to accredited investors of 471,334 shares of its common stock at $6.00 per share, yielding gross proceeds of $2,828,000. No commissions were payable in connection with the financing transaction. Proceeds of the financing will be used for working capital purposes, principally to fund ongoing clinical trials and studies and related activity. A copy of the press release is attached as Exhibit 99.1 hereto.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
Exhibit No. | Description |
| 99.1 | Press release dated January 23, 2014. |
| | |
* * * * * *
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| | PROTALEX, INC. | |
| | | | |
| Dated: January 23, 2014 | By: | /s/ Arnold P. Kling | |
| | | Arnold P. Kling | |
| | | President | |
| | | | |
