Clarence E. Smith - Dec 7, 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
Dec 7, 2022
Transactions value $
$63,000
Form type
4
Date filed
12/9/2022, 04:15 PM
Previous filing
Oct 11, 2022
Next filing
Jan 4, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PKTX Common Stock Purchase $63K +2.52M +6.7% $0.03 40.1M Dec 8, 2022 Direct F1
holding PKTX Common Stock 13.2M Dec 7, 2022 See footnote F2
holding PKTX Common Stock 1.85M Dec 7, 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
transaction PKTX Stock Option Other $0 -4.75M -100% $0.00* 0 Dec 7, 2022 Common Stock 4.75M $0.06 Direct F4
transaction PKTX Stock Option Other $0 -25M -100% $0.00* 0 Dec 7, 2022 Common Stock 25M $0.11 Direct F4
transaction PKTX Stock Option Other $0 -2.6M -100% $0.00* 0 Dec 7, 2022 Common Stock 2.6M $0.11 Direct F4
transaction PKTX Stock Option Award $0 +27.6M $0.00 27.6M Dec 7, 2022 Common Stock 27.6M $0.03 Direct F5
transaction PKTX Stock Option Award $0 +4.75M $0.00 4.75M Dec 7, 2022 Common Stock 4.75M $0.03 Direct F6
holding PKTX Warrant 600K Dec 7, 2022 Common Stock 600K $0.05 Direct
holding PKTX Warrant 1M Dec 7, 2022 Common Stock 1M $0.05 Direct
holding PKTX Warrant 217K Dec 7, 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 Cancellation of options for no value received.
F5 Options granted pursuant to Amended 2017 Stock Option and Stock Bonus Plan on December 7, 2022. Fully vested.
F6 Options granted pursuant to Amended 2017 Stock Option and Stock Bonus Plan on December 7, 2022. 3,562,500 options vested December 7, 2022; 1,187,500 options vest December 31, 2022.