SEC Form 4/A · accession 0001140361-16-070941
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
May 20, 2016
Accepted (ET)
Jun 27, 2016 · 9:42 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 | May 20, 2016 | P | 94,000 | $0.065 | A | 42,116,157 | D | |
| Common Stock | May 20, 2016 | P | 6,000 | $0.062 | A | 42,122,157 | D | |
| Common Stock | May 24, 2016 | P | 50,000 | $0.063 | A | 42,172,157 | D | |
| Common Stock | May 25, 2016 | P | 50,000 | $0.064 | A | 42,222,157 | D | |
| Common Stock | May 27, 2016 | P | 20,000 | $0.063 | A | 42,242,157 | D | |
| Common Stock | May 27, 2016 | P | 10,000 | $0.075 | A | 42,252,157 | D | |
| Common Stock | May 27, 2016 | P | 10,000 | $0.069 | A | 42,262,157 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionF1 | $0.08 | holding | — | — | — | — | Dec 31, 2019 | Common Stock | 5,000,000 | 5,000,000 | D |
Explanation of responses
- F1Options 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.
Remarks
This amendment is being filed to include the purchases of stock on the open market on May 20, 2016 and May 27, 2016 that were inadvertently omitted from the original filing.