SEC Form 4 · accession 0001567619-18-005757
ProtoKinetix, Inc. · PKTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Richard Guzzetta
Officer — CFO
Period of report
Nov 9, 2018
Accepted (ET)
Nov 13, 2018 · 2:52 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 | holding | — | — | — | 61,487 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1 | $0.09 | Nov 9, 2018 | A | 4,000,000 | A | — | Nov 8, 2023 | Common Stock | 4,000,000 | 4,000,000 | D |
| Stock OptionF2 | $0.07 | holding | — | — | — | — | Nov 14, 2021 | Common Stock | 1,000,000 | 1,000,000 | D |
Explanation of responses
- F1Options issued pursuant to the Amended 2017 Stock Option and Stock Bonus Plan on November 9, 2018. 1,000,000 shares of common stock vest March 31, 2019; thereafter 1,000,000 shall vest every three months until fully vested on December 31, 2019.
- F2Options issued pursuant to 2017 Stock Option and Stock Bonus Plan on November 14, 2017. 250,000 shares of common stock vested February 14, 2018; thereafter 250,000 shall vest every three months until fully vested on November 30, 2018.