0001079973-20-000644.txt : 20200807 0001079973-20-000644.hdr.sgml : 20200807 20200807192334 ACCESSION NUMBER: 0001079973-20-000644 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200804 FILED AS OF DATE: 20200807 DATE AS OF CHANGE: 20200807 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: 201086104 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 2020-08-04 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 2020-08-04 4 G 0 27500000 0.00 D 27911110 D Common Stock 2020-08-04 4 P 0 1000000 0.065 A 28911110 D Common Stock 13235160 I See footnote Common Stock 1850000 I See footnote Stock Option 0.14 2026-03-25 Common Stock 5000000 5000000 D Stock Option 0.14 2026-03-25 Common Stock 5000000 5000000 D Warrant 0.12 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 0.09 2023-11-08 Common Stock 5000000 5000000 D 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. /s/ Clarence E. Smith 2020-08-07