SEC Form 4/A · accession 0001140361-16-090707
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
Oct 12, 2016
Accepted (ET)
Dec 23, 2016 · 1:29 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 StockF1 | Nov 4, 2016 | P | 46,500 | $0.05 | A | 2,946,626 | 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 an unintentionally omitted purchase of the issuer's securities on the open market on November 4, 2016. The total number of shares held by the Clarence E. Smith Trust is 2,946,626, not 2,900,126.