0001079973-21-000564.txt : 20210628 0001079973-21-000564.hdr.sgml : 20210628 20210628184621 ACCESSION NUMBER: 0001079973-21-000564 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210413 FILED AS OF DATE: 20210628 DATE AS OF CHANGE: 20210628 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Guzzetta Michael Richard CENTRAL INDEX KEY: 0001612614 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32917 FILM NUMBER: 211055085 MAIL ADDRESS: STREET 1: 412 MULBERRY STREET CITY: MARIETTA STATE: OH ZIP: 45750 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ProtoKinetix, Inc. CENTRAL INDEX KEY: 0001128189 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 943355026 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 412 MULBERRY STREET CITY: MARIETTA STATE: OH ZIP: 45750 BUSINESS PHONE: 304-299-5070 MAIL ADDRESS: STREET 1: 412 MULBERRY STREET CITY: MARIETTA STATE: OH ZIP: 45750 FORMER COMPANY: FORMER CONFORMED NAME: RJV NETWORK INC DATE OF NAME CHANGE: 20010130 4 1 ownership.xml X0306 4 2021-04-13 0 0001128189 ProtoKinetix, Inc. PKTX 0001612614 Guzzetta Michael Richard 412 MULBERRY STREET MARIETTA OH 45750 0 1 0 0 CFO Common Stock 2021-04-13 4 M 0 555556 0.07 A 728869 D Common Stock 2021-04-13 4 F 0 194444 0.07 A 728869 D Common Stock 2021-04-21 4 S 0 2500 0.19 D 726369 D Common Stock 2021-04-22 4 S 0 11500 0.213 D 714869 D Common Stock 2021-04-26 4 S 0 12000 0.247 D 702869 D Common Stock 2021-04-27 4 S 0 1500 0.232 D 701369 D Stock Option 0.07 2021-04-13 4 M 0 750000 0.00 D 2021-11-14 Common Stock 750000 0 D Stock Option 0.12 2026-06-11 Common Stock 3500000 3500000 D Stock Option 0.11 2024-11-17 Common Stock 4000000 4000000 D Stock Option 0.09 2023-11-08 Common Stock 4000000 4000000 D Represents a "net exercise" of outstanding vested stock options. These shares were withheld by the Company for payment of the exercise price and applicable taxes, based on the market price of the Company common stock on April 13, 2021 of $0.27. This transaction was executed in multiple trades at prices ranging from $0.20 to $0.215. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $0.24 to $0.25. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Options exercised pursuant to 2017 Stock Option and Stock Bonus Plan. Options issued pursuant to the Company's Amended 2017 Stock Option and Stock Bonus Plan on June 12, 2020. Fully vested. Options issued pursuant to the Company's Amended 2017 Stock Option and Stock Bonus Plan on November 18, 2019. 1,000,000 shares of common stock vest on February 18, 2020; thereafter 1,000,000 shares vest every three months until fully vested on November 18, 2020. Options issued pursuant to the Amended 2017 Stock Option and Stock Bonus Plan on November 9, 2018. 1,000,000 shares of common stock vest March 31, 2019; thereafter 1,000,000 shall vest every three months until fully vested on December 31, 2019. /s/ Michael R. Guzzetta 2021-06-28