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