SEC Form 4 · accession 0001567619-18-005760
ProtoKinetix, Inc. · PKTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lachlan Grant Young
10% Owner
Period of report
Nov 9, 2018
Accepted (ET)
Nov 13, 2018 · 2:56 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 | — | — | — | 6,850,000 | 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 | 5,000,000 | A | — | Nov 8, 2023 | Common Stock | 5,000,000 | 5,000,000 | D |
| Stock OptionF2 | $0.06 | holding | — | — | — | — | Aug 31, 2021 | Common Stock | 5,000,000 | 5,000,000 | D |
| Stock OptionF3 | $0.05 | holding | — | — | — | — | Dec 31, 2020 | Common Stock | 5,000,000 | 5,000,000 | D |
| WarrantF4 | $0.10 | holding | — | — | — | — | Apr 22, 2020 | Common Stock | 6,000,000 | 6,000,000 | D |
| Stock OptionF5 | $0.04 | holding | — | — | — | — | Feb 28, 2020 | Common Stock | 5,000,000 | 5,000,000 | D |
| Stock OptionF6 | $0.08 | holding | — | — | — | — | Dec 31, 2019 | Common Stock | 5,000,000 | 5,000,000 | D |
Explanation of responses
- F1Options issued pursuant to the Amended 2017 Stock Option and Stock Bonus Plan on November 9, 2018. 1,250,000 shares of common stock vest March 31, 2019; thereafter 1,250,000 shall vest every three months.
- F2Options issued pursuant to the 2017 Stock Option and Stock Bonus Plan on September 1, 2017. 1,250,000 shares of common stock vested on December 31, 2017; thereafter 1,250,000 vested every three months and became fully vested on September 30, 2018.
- F3Options issued pursuant to the 2017 Stock Option and Stock Bonus Plan on January 1, 2017. 1,250,000 shares of common stock vested March 31, 2017; thereafter 1,250,000 vested every three months and became fully vested on December 31, 2017.
- F4Warrant issued on April 22, 2015 for the right to purchase 6,000,000 shares of common stock, exercisable in whole or in part, at any time and from time to time prior to the expiration date.
- F5Options issued pursuant to the 2015 Stock Option and Stock Bonus Plan on March 1, 2015. 1,250,000 shares of common stock vested March 1, 2015; thereafter 1,250,000 vested every three months and became fully vested on December 1, 2015.
- F6Options issued pursuant to the 2015 Stock Option and Stock Bonus Plan on January 1, 2016. 1,250,000 shares of common stock vested on March 31, 2016; thereafter 1,250,000 shares vested every three months and became fully vested on December 31, 2016.