Clarence E. Smith - Sep 29, 2022 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
Sep 29, 2022
Transactions value $
$100,000
Form type
4
Date filed
10/11/2022, 05:21 PM
Previous filing
Jul 14, 2022
Next filing
Dec 9, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PKTX Common Stock Purchase $100K +3.33M +9.73% $0.03 37.6M Sep 29, 2022 Direct F1
holding PKTX Common Stock 13.2M Sep 29, 2022 See footnote F2
holding PKTX Common Stock 1.85M Sep 29, 2022 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 Stock Option 4.75M Sep 29, 2022 Common Stock 4.75M $0.06 Direct F4
holding PKTX Stock Option 25M Sep 29, 2022 Common Stock 25M $0.11 Direct F5
holding PKTX Stock Option 2.6M Sep 29, 2022 Common Stock 2.6M $0.11 Direct F6
holding PKTX Warrant 600K Sep 29, 2022 Common Stock 600K $0.05 Direct
holding PKTX Warrant 1M Sep 29, 2022 Common Stock 1M $0.05 Direct
holding PKTX Warrant 217K Sep 29, 2022 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 as part of a private placement with 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 March 15, 2022. On March 31, 2022, 1,187,500 shares vest; thereafter 1,187,500 shares vest each quarter.
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.