SEC Form 4/A · accession 0001140361-16-061970
ProtoKinetix, Inc. · PKTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Clarence Edward Smith
Officer — President & CEO · Director · 10% Owner
Period of report
Dec 30, 2015
Accepted (ET)
Apr 25, 2016 · 5:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001128189
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| CommonF2,F1 | Dec 30, 2015 | A | 2,000,000 | $0.00 | A | 40,670,500 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionF3 | $0.08 | Jan 1, 2016 | A | 5,000,000 | A | — | Dec 31, 2019 | Common Stock | 5,000,000 | 5,000,000 | D |
Explanation of responses
- F1This Form 4/A is filed to correct the total number of non-derivative securities owned following the reported transaction. The correct number is 40,670,500.
- F2Shares granted pursuant to 2015 Stock Bonus Plan.
- F3Options granted pursuant to 2015 Stock Option and Stock Bonus Plan. On March 31, 2016, 1,250,000 shares vest, thereafter 1,250,000 vest each quarter.