Clarence E. Smith - Dec 22, 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
Dec 22, 2021
Transactions value $
$50,000
Form type
4
Date filed
12/28/2021, 05:38 PM
Previous filing
Aug 6, 2021
Next filing
Mar 17, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PKTX Common Stock Purchase $50K +833K +2.86% $0.06 30M Dec 22, 2021 Direct F1
holding PKTX Common Stock 13.2M Dec 22, 2021 See footnote F2
holding PKTX Common Stock 1.85M Dec 22, 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
holding PKTX Warrant 143K Dec 22, 2021 Common Stock 143K $0.07 Direct
holding PKTX Stock Option 25M Dec 22, 2021 Common Stock 25M $0.11 Direct F4
holding PKTX Stock Option 2.6M Dec 22, 2021 Common Stock 2.6M $1.11 Direct F5
holding PKTX Warrant 217K Dec 22, 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 Options granted pursuant to Amended 2017 Stock Option and Stock Bonus Plan on August 4, 2021. Fully vested.
F5 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.