Clarence E. Smith - 12 Jan 2021 Form 4 Insider Report for ProtoKinetix, Inc. (PKTX)

Role
President & CEO, Director, 10%+ Owner
Signature
/s/ Clarence E. Smith
Issuer symbol
PKTX
Transactions as of
12 Jan 2021
Net transactions value
+$20,000
Form type
4
Filing time
06 Aug 2021, 19:57:25 UTC
Next filing
28 Dec 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PKTX Common Stock Purchase $10,000 +142,857 +0.49% $0.0700 29,161,110 12 Jan 2021 Direct F1
holding PKTX Common Stock 13,235,160 12 Jan 2021 See footnote F2
holding PKTX Common Stock 1,850,000 12 Jan 2021 See footnote F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction PKTX Stock Option Disposed to Issuer $0 -5,000,000 -100% $0.000000* 0 04 Aug 2021 Common Stock 5,000,000 $0.1400 Direct F4
transaction PKTX Stock Option Disposed to Issuer $0 -5,000,000 -100% $0.000000* 0 04 Aug 2021 Common Stock 5,000,000 $0.1400 Direct F4
transaction PKTX Stock Option Disposed to Issuer $0 -5,000,000 -100% $0.000000* 0 04 Aug 2021 Common Stock 5,000,000 $0.1100 Direct F4
transaction PKTX Stock Option Disposed to Issuer $0 -5,000,000 -100% $0.000000* 0 04 Aug 2021 Common Stock 5,000,000 $0.2600 Direct F4
transaction PKTX Stock Option Disposed to Issuer $0 -5,000,000 -100% $0.000000* 0 04 Aug 2021 Common Stock 5,000,000 $0.0900 Direct F4
transaction PKTX Warrant Purchase $10,000 +142,857 $0.0700 142,857 12 Jan 2021 Common Stock 142,857 $0.0700 Direct
transaction PKTX Stock Option Award $0 +25,000,000 $0.000000 25,000,000 04 Aug 2021 Common Stock 25,000,000 $0.1100 Direct F5
transaction PKTX Stock Option Award $0 +2,600,000 $0.000000 2,600,000 04 Aug 2021 Common Stock 2,600,000 $0.1100 Direct F6
holding PKTX Warrant 216,666 12 Jan 2021 Common Stock 216,666 $0.1200 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares purchased in a private placement from the Company.
F2 Shares held by the Clarence E. Smith Trusts.
F3 Shares held by Mr. Smith's retirement account.
F4 Cancelation of options for no value received.
F5 Options granted pursuant to Amended 2017 Stock Option and Stock Bonus Plan on August 4, 2021. Fully vested.
F6 Options granted pursuant to Amended 2017 Stock Option and Stock Bonus Plan on August 4, 2021. On September 30, 2021, 650,000 shares vest; thereafter 650,000 shares vest each quarter.