SEC Form 4/A · accession 0001140361-16-089036
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).
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
Oct 12, 2016
Accepted (ET)
Dec 7, 2016 · 4:42 pm EST
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 | Nov 4, 2016 | P | 1,250,000 | $0.04 | A | 45,570,500 | D | |
| Common StockF1 | Oct 12, 2016 | P | 55,900 | $0.057 | A | 2,850,126 | I | See Footnote |
| Common StockF1 | Oct 14, 2016 | P | 50,000 | $0.053 | A | 2,900,126 | I | See Footnote |
| Common StockF2 | holding | — | — | — | 1,850,000 | I | See footnote |
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 amended Form 4 is being filed to include unintentionally omitted purchases of the issuer's securities on the open market on October 12, 2016 and October 14, 2016.