SEC Form 4/A · accession 0001140361-16-072343
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
Jul 7, 2016
Accepted (ET)
Jul 12, 2016 · 7:05 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 StockF1 | Jul 7, 2016 | P | 90,000 | $0.06 | A | 2,036,657 | I | See footnote |
| Common StockF2 | holding | — | — | — | 1,850,000 | I | See footnote | |
| Common Stock | holding | — | — | — | 41,320,500 | 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 | holding | — | — | — | — | Dec 31, 2019 | Common Stock | 5,000,000 | 5,000,000 | D |
Explanation of responses
- F1Shares held by the Clarence E. Smith Trust.
- F2Shares held in the reporting person's retirement account.
- 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.
Remarks
This Amendment is being filed to correct the allocation of shares held indirectly and directly by the Reporting Person. Table I states the holdings and the transaction of the Reporting Person as of July 7, 2016, and the nature of those holdings, as either held directly or indirectly by the Reporting Person.