Filing Details
- Accession Number:
- 0001079973-21-000713
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-08-06 19:57:25
- Reporting Period:
- 2021-01-12
- Accepted Time:
- 2021-08-06 19:57:25
- 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 | Acquisiton | 2021-01-12 | 142,857 | $0.07 | 29,161,110 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | Disposition | 2021-08-04 | 5,000,000 | $0.00 | 5,000,000 | $0.14 |
| Common Stock | Stock Option | Disposition | 2021-08-04 | 5,000,000 | $0.00 | 5,000,000 | $0.14 |
| Common Stock | Stock Option | Disposition | 2021-08-04 | 5,000,000 | $0.00 | 5,000,000 | $0.11 |
| Common Stock | Stock Option | Disposition | 2021-08-04 | 5,000,000 | $0.00 | 5,000,000 | $0.26 |
| Common Stock | Stock Option | Disposition | 2021-08-04 | 5,000,000 | $0.00 | 5,000,000 | $0.09 |
| Common Stock | Warrant | Acquisiton | 2021-01-12 | 142,857 | $0.07 | 142,857 | $0.07 |
| Common Stock | Stock Option | Acquisiton | 2021-08-04 | 25,000,000 | $0.00 | 25,000,000 | $0.11 |
| Common Stock | Stock Option | Acquisiton | 2021-08-04 | 2,600,000 | $0.00 | 2,600,000 | $0.11 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2026-03-25 | No | 4 | D | Direct | |
| 0 | 2026-03-25 | No | 4 | D | Direct | |
| 0 | 2024-11-17 | No | 4 | D | Direct | |
| 0 | 2024-07-14 | No | 4 | D | Direct | |
| 0 | 2023-11-08 | No | 4 | D | Direct | |
| 142,857 | 2021-01-12 | 2022-01-12 | No | 4 | P | Direct |
| 25,000,000 | 2028-08-03 | No | 4 | A | Direct | |
| 2,600,000 | 2028-08-03 | No | 4 | A | 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 | Warrant | $0.12 | 2019-12-19 | 2022-12-18 | 216,666 | 216,666 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2022-12-18 | 216,666 | 216,666 | Direct |
Footnotes
- 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.
- Cancelation of options for no value received.
- Options granted pursuant to Amended 2017 Stock Option and Stock Bonus Plan on August 4, 2021. Fully vested.
- 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.
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