Filing Details
- Accession Number:
- 0001079973-20-000644
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-08-07 19:23:34
- Reporting Period:
- 2020-08-04
- Accepted Time:
- 2020-08-07 19:23:34
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1128189 | Protokinetix Inc. | PKTX | Pharmaceutical Preparations (2834) | 943355026 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1516077 | Edward Clarence Smith | 1845 County Road #214 St. Augustine FL 32084 | President & Ceo | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2020-08-04 | 27,500,000 | $0.00 | 27,911,110 | No | 4 | G | Direct | |
| Common Stock | Acquisiton | 2020-08-04 | 1,000,000 | $0.07 | 28,911,110 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | G | Direct | |
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 13,235,160 | Indirect | See footnote |
| Common Stock | 1,850,000 | Indirect | See footnote |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | $0.14 | 2026-03-25 | 5,000,000 | 5,000,000 | Direct | |
| Common Stock | Stock Option | $0.14 | 2026-03-25 | 5,000,000 | 5,000,000 | Direct | |
| Common Stock | Warrant | $0.12 | 2019-12-19 | 2022-12-18 | 216,666 | 216,666 | Direct |
| Common Stock | Stock Option | $0.11 | 2024-11-17 | 5,000,000 | 5,000,000 | Direct | |
| Common Stock | Stock Option | $0.26 | 2024-07-14 | 5,000,000 | 5,000,000 | Direct | |
| Common Stock | Stock Option | $0.09 | 2023-11-08 | 5,000,000 | 5,000,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2026-03-25 | 5,000,000 | 5,000,000 | Direct |
| 2026-03-25 | 5,000,000 | 5,000,000 | Direct |
| 2022-12-18 | 216,666 | 216,666 | Direct |
| 2024-11-17 | 5,000,000 | 5,000,000 | Direct |
| 2024-07-14 | 5,000,000 | 5,000,000 | Direct |
| 2023-11-08 | 5,000,000 | 5,000,000 | Direct |
Footnotes
- Bona fide gift to adult daughter for estate planning purposes. Mr. Smith disclaims any beneficial ownership of such shares through his daughter.
- Shares purchased in a private placement from the Company.
- Shares held by the Clarence E. Smith Trusts.
- Shares held by Mr. Smith's retirement account.
- Options issued pursuant to the Company's Amended 2017 Stock Option and Stock Bonus Plan on March 26, 2020. Fully vested.
- Options issued pursuant to the Company's Amended 2017 Stock Option and Stock Bonus Plan on November 18, 2019. 1,250,000 shares of common stock vest on February 18, 2020; thereafter 1,250,000 shares vest every three months until fully vested on November 18, 2020.
- Options issued pursuant to the Company's Amended 2017 Stock Option and Stock Bonus Plan on July 15, 2019. 1,250,000 shares of common stock vest on October 13, 2019; thereafter 1,250,000 shares vest every three months until fully vested on July 13, 2020.
- Options granted pursuant to Amended 2017 Stock Option and Stock Bonus Plan on November 9, 2018. On March 31, 2019, 1,250,000 shares vest; thereafter 1,250,000 shares vest each quarter.
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