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

Role
President & CEO, Director, 10%+ Owner
Signature
/s/ Clarence E. Smith
Stock symbol
PKTX
Transactions as of
Jan 12, 2021
Transactions value $
$20,000
Form type
4
Date filed
8/6/2021, 07:57 PM
Next filing
Dec 28, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PKTX Common Stock Purchase $10K +143K +0.49% $0.07 29.2M Jan 12, 2021 Direct F1
holding PKTX Common Stock 13.2M Jan 12, 2021 See footnote F2
holding PKTX Common Stock 1.85M Jan 12, 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 -5M -100% $0.00* 0 Aug 4, 2021 Common Stock 5M $0.14 Direct F4
transaction PKTX Stock Option Disposed to Issuer $0 -5M -100% $0.00* 0 Aug 4, 2021 Common Stock 5M $0.14 Direct F4
transaction PKTX Stock Option Disposed to Issuer $0 -5M -100% $0.00* 0 Aug 4, 2021 Common Stock 5M $0.11 Direct F4
transaction PKTX Stock Option Disposed to Issuer $0 -5M -100% $0.00* 0 Aug 4, 2021 Common Stock 5M $0.26 Direct F4
transaction PKTX Stock Option Disposed to Issuer $0 -5M -100% $0.00* 0 Aug 4, 2021 Common Stock 5M $0.09 Direct F4
transaction PKTX Warrant Purchase $10K +143K $0.07 143K Jan 12, 2021 Common Stock 143K $0.07 Direct
transaction PKTX Stock Option Award $0 +25M $0.00 25M Aug 4, 2021 Common Stock 25M $0.11 Direct F5
transaction PKTX Stock Option Award $0 +2.6M $0.00 2.6M Aug 4, 2021 Common Stock 2.6M $0.11 Direct F6
holding PKTX Warrant 217K Jan 12, 2021 Common Stock 217K $0.12 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.