0001079973-19-000339.txt : 20190605 0001079973-19-000339.hdr.sgml : 20190605 20190605153751 ACCESSION NUMBER: 0001079973-19-000339 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190531 FILED AS OF DATE: 20190605 DATE AS OF CHANGE: 20190605 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: 19879637 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 2019-05-31 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 2019-05-31 4 P 0 88252 0.15 A 6413883 I See footnote Common Stock 2019-06-03 4 P 0 33000 0.15 A 6446883 I See footnote Common Stock 2019-06-04 4 P 0 21000 0.16 A 6467883 I See footnote Common Stock 61353833 D Common Stock 1850000 I See footnote Stock Option 0.09 2023-11-08 Common Stock 5000000 5000000 D Stock Option 0.06 2021-08-31 Common Stock 5000000 5000000 D Stock Option 0.05 2020-12-31 Common Stock 5000000 5000000 D Stock Option 0.08 2019-12-31 Common Stock 5000000 5000000 D Shares held by the Clarence E. Smith Trust and purchased on the open market. This transaction was executed in multiple trades at prices ranging from $0.138 to $0.157. 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 $0.147 to $0.151. 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 $0.155 to $0.157. 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. Shares held by Mr. Smith's retirement account. Options granted pursuant to Amended 2017 Stock Option and Stock Bonus Plan. On March 31, 2019, 1,250,000 shares vest; thereafter 1,250,000 shares vest each quarter. Options granted pursuant to 2017 Stock Option and Stock Bonus Plan. On December 31, 2017, 1,250,000 shares vested; thereafter 1,250,000 shares vested each quarter. Options granted pursuant to 2017 Stock Option and Stock Bonus Plan. On March 31, 2017, 1,250,000 shares vested; thereafter 1,250,000 shares vested each quarter. Options granted pursuant to 2015 Stock Option and Stock Bonus Plan. On March 31, 2016, 1,250,000 shares vested; thereafter 1,250,000 shares vested each quarter. /s/ Clarence E. Smith 2019-06-05