CLARENCE E. SMITH - 29 Sep 2022 Form 4 Insider Report for ProtoKinetix, Inc. (PKTX)

Role
President & CEO, Director, 10%+ Owner
Signature
/s/ Clarence E. Smith
Issuer symbol
PKTX
Transactions as of
29 Sep 2022
Net transactions value
+$100,000
Form type
4
Filing time
11 Oct 2022, 17:21:08 UTC
Previous filing
14 Jul 2022
Next filing
09 Dec 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PKTX Common Stock Purchase $100,000 +3,333,333 +9.7% $0.0300 37,594,443 29 Sep 2022 Direct F1
holding PKTX Common Stock 13,235,160 29 Sep 2022 See footnote F2
holding PKTX Common Stock 1,850,000 29 Sep 2022 See footnote F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding PKTX Stock Option 4,750,000 29 Sep 2022 Common Stock 4,750,000 $0.0600 Direct F4
holding PKTX Stock Option 25,000,000 29 Sep 2022 Common Stock 25,000,000 $0.1100 Direct F5
holding PKTX Stock Option 2,600,000 29 Sep 2022 Common Stock 2,600,000 $0.1100 Direct F6
holding PKTX Warrant 600,000 29 Sep 2022 Common Stock 600,000 $0.0500 Direct
holding PKTX Warrant 1,000,000 29 Sep 2022 Common Stock 1,000,000 $0.0500 Direct
holding PKTX Warrant 216,666 29 Sep 2022 Common Stock 216,666 $0.1200 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares purchased as part of a private placement with the Company.
F2 Shares held by the Clarence E. Smith Trusts.
F3 Shares held by Mr. Smith's retirement account.
F4 Options granted pursuant to Amended 2017 Stock Option and Stock Bonus Plan on March 15, 2022. On March 31, 2022, 1,187,500 shares vest; thereafter 1,187,500 shares vest each quarter.
F5 Options granted pursuant to Amended 2017 Stock Option and Stock Bonus Plan on August 4, 2021. Fully vested.
F6 Options granted pursuant to Amended 2017 Stock Option and Stock Bonus Plan on August 4, 2021. On September 30, 2021, 650,000 shares vest; thereafter 650,000 shares vest each quarter.