Filing Details
- Accession Number:
- 0001079973-22-001530
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-12-09 17:15:55
- Reporting Period:
- 2022-12-07
- Accepted Time:
- 2022-12-09 17:15:55
- 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 | 1409 Peachtree Road Daytona Beach FL 32114 | 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 | 2022-12-08 | 2,520,000 | $0.03 | 40,114,443 | 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 | 2022-12-07 | 4,750,000 | $0.00 | 4,750,000 | $0.06 |
| Common Stock | Stock Option | Disposition | 2022-12-07 | 25,000,000 | $0.00 | 25,000,000 | $0.11 |
| Common Stock | Stock Option | Disposition | 2022-12-07 | 2,600,000 | $0.00 | 2,600,000 | $0.11 |
| Common Stock | Stock Option | Acquisiton | 2022-12-07 | 27,600,000 | $0.00 | 27,600,000 | $0.03 |
| Common Stock | Stock Option | Acquisiton | 2022-12-07 | 4,750,000 | $0.00 | 4,750,000 | $0.03 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2030-03-14 | No | 4 | J | Direct | |
| 0 | 2028-08-03 | No | 4 | J | Direct | |
| 0 | 2028-08-03 | No | 4 | J | Direct | |
| 27,600,000 | 2028-12-06 | No | 4 | A | Direct | |
| 4,750,000 | 2028-12-06 | 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 | $0.05 | 2022-03-30 | 2024-03-15 | 600,000 | 600,000 | Direct |
| Common Stock | Warrant | $0.05 | 2022-03-18 | 2024-03-15 | 1,000,000 | 1,000,000 | Direct |
| Common Stock | Warrant | $0.12 | 2019-12-19 | 2022-12-18 | 216,666 | 216,666 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2024-03-15 | 600,000 | 600,000 | Direct |
| 2024-03-15 | 1,000,000 | 1,000,000 | Direct |
| 2022-12-18 | 216,666 | 216,666 | Direct |
Footnotes
- Shares purchased as part of a private placement with the Company.
- Shares held by the Clarence E. Smith Trusts.
- Shares held by Mr. Smith's retirement account.
- Cancellation of options for no value received.
- Options granted pursuant to Amended 2017 Stock Option and Stock Bonus Plan on December 7, 2022. Fully vested.
- 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.
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