SEC Form 4 · accession 0001140361-16-070143
ProtoKinetix, Inc. · PKTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Clarence Edward Smith
Officer — President & CEO · Director · 10% Owner
Period of report
Jun 14, 2016
Accepted (ET)
Jun 16, 2016 · 8:17 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 |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 14, 2016 | P | 30,000 | $0.068 | A | 42,152,157 | D | |
| Common Stock | Jun 15, 2016 | P | 60,000 | $0.065 | A | 42,212,157 | D | |
| Common Stock | Jun 16, 2016 | P | 40,000 | $0.065 | A | 42,252,157 | D | |
| Common StockF1 | Jun 16, 2016 | P | 650,000 | $0.04 | A | 42,902,157 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionF2 | $0.08 | holding | — | — | — | — | Dec 31, 2019 | Common Stock | 5,000,000 | 5,000,000 | D |
Explanation of responses
- F1Acquired pursuant to private placement.
- F2Options 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.