Statement of Changes in Beneficial Ownership (4)
April 12 2019 - 2:29PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
SMITH CLARENCE EDWARD
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2. Issuer Name
and
Ticker or Trading Symbol
ProtoKinetix, Inc.
[
PKTX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President & CEO
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(Last)
(First)
(Middle)
1845 COUNTRY ROAD #214
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/5/2019
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(Street)
ST. AUGUSTINE, FL 32084
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
(1)
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4/1/2019
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P
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2000000
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A
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$0.05
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61353833
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D
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Common Stock
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3/5/2019
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P
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50000
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A
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$0.075
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5071025
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I
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See footnote
(2)
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Common Stock
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3/22/2019
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P
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34700
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A
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$0.06
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5105725
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I
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See footnote
(2)
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Common Stock
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3/26/2019
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P
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5300
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A
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$0.053
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5111025
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I
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See footnote
(2)
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Common Stock
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3/26/2019
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P
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15000
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A
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$0.069
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5126025
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I
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See footnote
(2)
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Common Stock
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3/26/2019
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P
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20000
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A
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$0.06
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5146025
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I
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See footnote
(2)
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Common Stock
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3/27/2019
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P
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15000
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A
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$0.07
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5161025
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I
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See footnote
(2)
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Common Stock
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3/28/2019
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P
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18700
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A
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$0.07
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5179725
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I
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See footnote
(2)
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Common Stock
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3/28/2019
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P
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100000
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A
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$0.075
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5279725
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I
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See footnote
(2)
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Common Stock
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3/29/2019
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P
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60000
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A
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$0.075
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5339725
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I
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See footnote
(2)
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Common Stock
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4/1/2019
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P
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21300
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A
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$0.07
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5361025
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I
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See footnote
(2)
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Common Stock
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4/1/2019
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P
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50000
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A
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$0.077
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5411025
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I
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See footnote
(2)
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Common Stock
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4/2/2019
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P
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12000
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A
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$0.072
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5423025
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I
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See footnote
(2)
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Common Stock
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4/2/2019
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P
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20000
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A
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$0.074
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5443025
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I
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See footnote
(2)
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Common Stock
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4/3/2019
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P
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10000
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A
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$0.08
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5453025
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I
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See footnote
(2)
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Common Stock
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4/4/2019
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P
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10000
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A
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$0.08
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5463025
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I
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See footnote
(2)
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Common Stock
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4/5/2019
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P
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60000
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A
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$0.06
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5523025
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I
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See footnote
(2)
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Common Stock
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4/8/2019
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P
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146667
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A
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$0.06
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5669692
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I
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See footnote
(2)
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Common Stock
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4/9/2019
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P
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10000
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A
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$0.069
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5679692
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I
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See footnote
(2)
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Common Stock
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4/9/2019
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P
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152000
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A
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$0.07
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5831692
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I
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See footnote
(2)
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Common Stock
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4/10/2019
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P
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94242
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A
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$0.07
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5925934
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I
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See footnote
(2)
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Common Stock
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4/10/2019
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P
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66667
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A
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$0.069
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5992601
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I
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See footnote
(2)
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Common Stock
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4/11/2019
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P
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9000
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A
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$0.064
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6001601
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I
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See footnote
(2)
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Common Stock
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4/11/2019
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P
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19000
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A
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$0.067
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6020601
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I
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See footnote
(2)
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Common Stock
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4/15/2019
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P
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10000
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A
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$0.063
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6030601
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I
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See footnote
(2)
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Common Stock
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4/15/2019
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P
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5000
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A
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$0.066
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6035601
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I
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See footnote
(2)
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Common Stock
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4/15/2019
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P
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38000
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A
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$0.07
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6073601
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I
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See footnote
(2)
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Common Stock
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1850000
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I
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See footnote
(3)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option
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$0.09
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(4)
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11/8/2023
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Common Stock
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5000000
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5000000
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D
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Stock Option
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$0.06
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(5)
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8/31/2021
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Common Stock
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5000000
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5000000
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D
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Stock Option
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$0.05
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(6)
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12/31/2020
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Common Stock
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5000000
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5000000
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D
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Stock Option
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$0.08
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(7)
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12/31/2019
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Common Stock
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5000000
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5000000
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D
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Explanation of Responses:
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(1)
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Shares purchased by Mr. Smith from the Company in a private placement.
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(2)
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Shares held by the Clarence E. Smith Trust and purchased on the open market.
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(3)
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Shares held by Mr. Smith's retirement account.
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(4)
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Options granted pursuant to Amended 2017 Stock Option and Stock Bonus Plan. On March 31, 2019, 1,250,000 shares vest; thereafter 1,250,000 shares vest each quarter.
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(5)
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Options granted pursuant to 2017 Stock Option and Stock Bonus Plan. On December 31, 2017, 1,250,000 shares vested; thereafter 1,250,000 shares vested each quarter.
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(6)
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Options granted pursuant to 2017 Stock Option and Stock Bonus Plan. On March 31, 2017, 1,250,000 shares vested; thereafter 1,250,000 shares vested each quarter.
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(7)
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Options granted pursuant to 2015 Stock Option and Stock Bonus Plan. On March 31, 2016, 1,250,000 shares vested; thereafter 1,250
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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SMITH CLARENCE EDWARD
1845 COUNTRY ROAD #214
ST. AUGUSTINE, FL 32084
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X
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X
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President & CEO
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Signatures
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/s/ Clarence E. Smith
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4/11/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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