0001079973-20-000006.txt : 20200107 0001079973-20-000006.hdr.sgml : 20200107 20200107171131 ACCESSION NUMBER: 0001079973-20-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191219 FILED AS OF DATE: 20200107 DATE AS OF CHANGE: 20200107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH CLARENCE EDWARD CENTRAL INDEX KEY: 0001516077 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32917 FILM NUMBER: 20513908 MAIL ADDRESS: STREET 1: 1845 COUNTY ROAD #214 CITY: ST. AUGUSTINE STATE: FL ZIP: 32084 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 2019-12-19 0 0001128189 ProtoKinetix, Inc. PKTX 0001516077 SMITH CLARENCE EDWARD 1845 COUNTY ROAD #214 ST. AUGUSTINE FL 32084 1 1 1 0 President & CEO Common Stock 2019-12-19 4 P 0 216666 0.12 A 54899999 D Common Stock 2019-12-30 4 P 0 21551 0.10 A 13185711 I See footnote Common Stock 2019-12-31 4 P 0 45249 0.11 A 13230960 I See footnote Common Stock 2020-01-03 4 P 0 4200 0.10 A 13235160 I See footnote Common Stock 1850000 I See footnote Warrant 0.12 2019-12-19 4 P 0 216666 0.00 A 2019-12-19 2022-12-18 Common Stock 216666 216666 D Stock Option 0.11 2024-11-17 Common Stock 5000000 5000000 D Stock Option 0.26 2024-07-14 Common Stock 5000000 5000000 D Stock Option 0.26 2024-07-14 Common Stock 5000000 5000000 D Stock Option 0.09 2023-11-08 Common Stock 5000000 5000000 D Stock Option 0.06 2021-08-31 Common Stock 5000000 5000000 D Stock Option 0.05 2020-12-31 Common Stock 5000000 5000000 D Acquired pursuant to private placement. This Form 4 corrects the prior Form 4 which incorrectly reported a total of 61,353,833 shares held by Mr. Smith personally. Based on a review of stockholder reports, the corrected number of shares is 54,683,333 before the transactions reported herein. Shares held by the Clarence E. Smith Trusts. This Form 4 corrects the prior Form 4 which incorrectly reported a total of 6,467,883 held in trust. Based on a review of brokerage statements and stockholder lists, the corrected total number of shares held by the trusts before the transactions reported herein is 13,164,160. This transaction was executed in multiple trades at prices ranging from $0.1 to $0.11. 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. Shares held by Mr. Smith's retirement account. Acquired pursuant to private placement. 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 March 31, 2019, 1,250,000 shares vest; thereafter 1,250,000 shares vest each quarter. Options granted pursuant to 2017 Stock Option and Stock Bonus Plan. On December 31, 2017, 1,250,000 shares vested; thereafter 1,250,000 shares vested each quarter. Options granted pursuant to 2017 Stock Option and Stock Bonus Plan. On March 31, 2017, 1,250,000 shares vested; thereafter 1,250,000 shares vested each quarter. /s/ Clarence E. Smith 2020-01-06