CLARENCE E. SMITH - 14 Dec 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
14 Dec 2022
Net transactions value
+$46,868
Form type
4
Filing time
04 Jan 2023, 17:03:10 UTC
Previous filing
09 Dec 2022
Next filing
31 Jan 2023
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 $2,258 +94,089 +0.71% $0.0240 13,329,249 14 Dec 2022 see footnote F1, F2
transaction PKTX Common Stock Purchase $2,321 +78,400 +0.59% $0.0296 13,407,649 15 Dec 2022 see footnote F1, F2, F3
transaction PKTX Common Stock Purchase $1,989 +65,000 +0.48% $0.0306 13,472,649 16 Dec 2022 see footnote F1, F2, F4
transaction PKTX Common Stock Purchase $3,300 +100,000 +0.74% $0.0330 13,572,649 21 Dec 2022 see footnote F1, F2
transaction PKTX Common Stock Purchase $37,000 +1,850,000 +4.6% $0.0200 41,964,443 30 Dec 2022 Direct F5
holding PKTX Common Stock 1,850,000 14 Dec 2022 see footnote F6

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
transaction PKTX Warrant Other $0 -216,666 -100% $0.000000* 0 18 Dec 2022 Common Stock 0 $0.1200 Direct F8
holding PKTX Stock Option 27,600,000 14 Dec 2022 Common Stock 27,600,000 $0.0280 Direct F7
holding PKTX Stock Option 4,750,000 14 Dec 2022 Common Stock 4,750,000 $0.0280 Direct F7
holding PKTX Warrant 600,000 14 Dec 2022 Common Stock 600,000 $0.0500 Direct
holding PKTX Warrant 1,000,000 14 Dec 2022 Common Stock 1,000,000 $0.0500 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares purchased on the open market.
F2 Shares held by the Clarence E. Smith Trusts.
F3 This transaction was executed in multiple trades at prices ranging from $0.0270 to $0.0328. 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.
F4 This transaction was executed in multiple trades at prices ranging from $0.0290 to $0.0313. 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.
F5 Shares purchased in private placement of the Company.
F6 Shares held by Mr. Smith's retirement account.
F7 Options granted pursuant to Amended 2017 Stock Option and Stock Bonus Plan on December 7, 2022. Fully vested.
F8 Expiration of warrants for no value received.