SEC Form 4 · accession 0001140361-16-090711
ProtoKinetix, Inc. · PKTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Clarence Edward Smith
Officer — President & CEO · Director · 10% Owner
Period of report
Dec 20, 2016
Accepted (ET)
Dec 23, 2016 · 1:32 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 | Dec 20, 2016 | P | 4,000,000 | $0.04 | A | 53,070,500 | D | |
| Common StockF1 | holding | — | — | — | 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.