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