SEC Form 4 · accession 0001140361-18-028860
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
Jun 12, 2018
Accepted (ET)
Jun 15, 2018 · 6:55 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 | Jun 12, 2018 | P | 90,000 | $0.088 | A | 4,191,202 | I | See footnote |
| Common StockF1 | Jun 12, 2018 | P | 18,600 | $0.086 | A | 4,209,802 | I | See footnote |
| Common StockF1 | Jun 13, 2018 | P | 251,000 | $0.10 | A | 4,460,902 | I | See footnote |
| Common StockF1 | Jun 14, 2018 | P | 77,000 | $0.10 | A | 4,537,902 | I | See footnote |
| Common StockF1 | Jun 15, 2018 | P | 11,900 | $0.10 | A | 4,549,802 | I | See footnote |
| Common Stock | holding | — | — | — | 56,179,740 | D | ||
| 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF3 | $0.06 | holding | — | — | — | — | Aug 31, 2021 | Common Stock | 5,000,000 | 5,000,000 | D |
| Stock OptionF4 | $0.05 | holding | — | — | — | — | Dec 31, 2020 | Common Stock | 5,000,000 | 5,000,000 | D |
| Stock OptionF5 | $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 by Mr. Smith's retirement account.
- F3Options granted pursuant to 2017 Stock Option and Stock Bonus Plan. On December 31, 2017, 1,250,000 shares vest; thereafter 1,250,000 shares vest each quarter
- F4Options granted pursuant to 2017 Stock Option and Stock Bonus Plan. On March 31, 2017, 1,250,000 shares vest; thereafter 1,250,000 shares vest each quarter.
- F5Options granted pursuant to 2015 Stock Option and Stock Bonus Plan. On March 31, 2016, 1,250,000 shares vest; thereafter 1,250,000 shares vest each quarter.