- Amended Statement of Ownership (SC 13G/A)
February 13 2009 - 4:51PM
Edgar (US Regulatory)
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OMB APPROVAL
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OMB Number: 3235-0145
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 3)*
PROTOKINETIX INC COM
(Name of Issuer)
Common Stock, par value $0.0000053 per share
(Title of Class of Securities)
743722100
(CUSIP Number)
DECEMBER 31, 2008
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o
Rule 13d-1(b)
þ
Rule 13d-1(c)
o
Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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1
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NAMES OF REPORTING PERSONS
Empire Capital Partners, L.P.
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a)
o
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(b)
þ
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Delaware
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5
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SOLE VOTING POWER
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NUMBER OF
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-0-
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SHARES
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6
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SHARED VOTING POWER
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BENEFICIALLY
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OWNED BY
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2,119,618
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EACH
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7
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SOLE DISPOSITIVE POWER
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REPORTING
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PERSON
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-0-
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WITH:
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8
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SHARED DISPOSITIVE POWER
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2,119,618
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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2,119,618
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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o
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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3.8%
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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PN
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2
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1
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NAMES OF REPORTING PERSONS
Empire GP, L.L.C.
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a)
o
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(b)
þ
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Delaware
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5
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SOLE VOTING POWER
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NUMBER OF
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-0-
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SHARES
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6
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SHARED VOTING POWER
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BENEFICIALLY
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OWNED BY
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2,119,618
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EACH
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7
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SOLE DISPOSITIVE POWER
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REPORTING
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PERSON
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-0-
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WITH:
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8
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SHARED DISPOSITIVE POWER
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2,119,618
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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2,119,618
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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o
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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3.8%
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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OO
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3
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1
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NAMES OF REPORTING PERSONS
Empire Capital Management, L.L.C.
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a)
o
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(b)
þ
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Delaware
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5
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SOLE VOTING POWER
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NUMBER OF
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-0-
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SHARES
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6
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SHARED VOTING POWER
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BENEFICIALLY
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OWNED BY
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2,300,382
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EACH
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7
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SOLE DISPOSITIVE POWER
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REPORTING
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PERSON
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-0-
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WITH:
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8
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SHARED DISPOSITIVE POWER
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2,300,382
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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2,300,382
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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o
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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4.1%
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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OO
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4
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1
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NAMES OF REPORTING PERSONS
Scott A. Fine
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a)
o
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(b)
þ
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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United States
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5
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SOLE VOTING POWER
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NUMBER OF
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-0-
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SHARES
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6
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SHARED VOTING POWER
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BENEFICIALLY
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OWNED BY
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4,420,000
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EACH
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7
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SOLE DISPOSITIVE POWER
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REPORTING
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PERSON
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-0-
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WITH:
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8
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SHARED DISPOSITIVE POWER
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4,420,000
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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4,420,000
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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o
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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7.9%
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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IN
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5
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1
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NAMES OF REPORTING PERSONS
Peter J. Richards
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a)
o
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(b)
þ
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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United States
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5
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SOLE VOTING POWER
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NUMBER OF
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-0-
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SHARES
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6
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SHARED VOTING POWER
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BENEFICIALLY
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OWNED BY
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4,420,000
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EACH
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7
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SOLE DISPOSITIVE POWER
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REPORTING
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PERSON
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-0-
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WITH:
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8
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SHARED DISPOSITIVE POWER
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4,420,000
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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4,420,000
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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o
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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7.9%
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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IN
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6
Item 1(a). Name of Issuer:
The name of the issuer is PROTOKINETIX INC COM (the Company).
Item 1(b). Address of Issuers Principal Executive Offices:
The Companys principal executive offices are located at Suite 1500-855 West Georgia Street,
Vancouver, British Columbia, Canada V6C3E.
Item 2(a). Name of Person Filing:
This statement is filed by:
(i)
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Empire Capital Partners, L.P., a Delaware limited partnership
(Empire Capital), with respect to the shares of Common Stock and/or Options
(as defined below) directly owned by it;
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(ii)
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Empire GP, L.L.C., a Delaware limited liability company
(Empire GP), with respect to the shares of Common Stock and/or Options
directly owned by Empire Capital;
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(iii)
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Empire Capital Management, L.L.C., a Delaware limited
liability company (Empire Management) with respect to the shares of Common
Stock and/or Options directly owned by Empire Capital Partners, Ltd. (the
Empire Overseas Fund), Charter Oak Partners, L.P., Charter Oak Partners II,
L.P. and Charter Oak Master Fund, LP (the Charter Oak Funds) and Empire
Capital Partners Enhanced Master Fund, LTD (the Enhanced Master Fund);
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(iv)
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Mr. Scott A. Fine (Mr. Fine) with respect to the shares of
Common Stock and/or Options directly owned by Empire Capital, the Empire
Overseas Fund, the Charter Oak Funds and the Enhanced Master Fund;
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(v)
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Mr. Peter J. Richards (Mr. Richards) with respect to the
shares of Common Stock and/or Options directly owned by Empire Capital, the
Empire Overseas Fund, the Charter Oak Funds and the Enhanced Master Fund.
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The foregoing persons are hereinafter sometimes collectively referred to as the
Reporting Persons. Any disclosures herein with respect to persons other than the
Reporting Persons are made on information and belief after making inquiry to the
appropriate party.
7
Item 2(c). Citizenship:
Empire Capital is a limited partnership organized under the laws of the State of Delaware.
Each of Empire GP and Empire Management is a limited liability company organized under the
laws of the State of Delaware. Messrs. Fine and Richards are each a United States citizen.
Item 2(d). Title of Class of Securities:
Common Stock $0.0000053 par value (the Common Stock)
Item 2(e). CUSIP Number: 743722100
Item 3. If this statement is filed pursuant to Rules 13d-1(b) or 13d-2(b) or (c), check whether
the person filing is a:
(a)
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o
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Broker or dealer registered under Section 15 of the
Act,
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(b)
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Bank as defined in Section 3(a)(6) of the Act,
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(c)
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Insurance Company as defined in Section 3(a)(19) of
the Act,
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(d)
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Investment Company registered under Section 8 of the
Investment Company Act of 1940,
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(e)
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Investment Adviser in accordance with Rule
13d-1 (b)(1)(ii)(E),
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(f)
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Employee Benefit Plan or Endowment Fund in accordance with 13d-1 (b)(1)(ii)(F),
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(g)
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Parent Holding Company or control person in accordance
with Rule 13d-1 (b)(1)(ii)(G),
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(h)
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Savings Association as defined in Section 3(b) of the
Federal Deposit Insurance Act,
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(i)
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o
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Church Plan that is excluded from the definition of an
investment company under Section 3(c)(14) of the
Investment Company Act of 1940,
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(j)
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Group, in accordance with Rule 13d-1(b)(1)(ii)(J).
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If this statement is filed pursuant to 13d-1(c), check this box:
þ
8
Item 4. Ownership.
A.
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Empire Capital Partners, L.P. and Empire GP, L.L.C.
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(a)
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Amount beneficially owned: 2,119,618
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(b)
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Percent of class: 3.8%
The percentages used herein and in the rest of Item 4 are calculated based upon the 55,893,558
shares of Common Stock issued and outstanding as of November 5, 2008 as reflected in the Companys
Form 10-Q filed on November 13, 2008.
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(c)
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(i) Sole power to vote or direct the vote: -0-
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(ii) Shared power to vote or direct the vote: 2,119,618
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(iii) Sole power to dispose or direct the disposition: -0-
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(iv) Shared power to dispose or direct the disposition: 2,119,618
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Empire Capital has the power to dispose of and the power to vote the shares of Common Stock and/or
Options beneficially owned by it, which power may be exercised by its general partner, Empire GP.
Empire GP does not directly own any shares of Common Stock and/or Options. By reason of the
provisions of Rule 13d-3 of the Securities Exchange Act of 1934 (the Act), Empire GP may be
deemed to own beneficially the shares owned by Empire Capital.
(a)
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Amount beneficially owned: 2,300,382
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(b)
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Percent of class: 4.1%
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(c)
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(i) Sole power to vote or direct the vote: -0-
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(ii) Shared power to vote or direct the vote: 2,300,382
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(iii) Sole power to dispose or direct the disposition: -0-
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(iv) Shared power to dispose or direct the disposition: 2,300,382
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The Empire Overseas Fund, the Charter Oak Funds and the Enhanced Master Fund each have the power to
dispose of and the power to vote the shares of Common Stock and/or Options beneficially owned by
them, which power may be exercised by their investment manager, Empire Management. Empire
Management does not directly own any shares of Common Stock and/or Options. By reason of the
provisions of Rule 13d-3 of the Securities Exchange Act of 1934 (the Act), Empire Management may
be deemed to own beneficially the shares owned by the Empire Overseas Fund, the Charter Oak Funds
and the Enhanced Master Fund.
C.
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Scott A. Fine and Peter J. Richards
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(a)
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Amount beneficially owned: 4,420,000
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(b)
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Percent of class: 7.9%
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(c)
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(i) Sole power to vote or direct the vote: -0-
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(ii) Shared power to vote or direct the vote: 4,420,000
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(iii) Sole power to dispose or direct the disposition: -0-
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(iv) Shared power to dispose or direct the disposition: 4,420,000
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Messrs. Fine and Richards, as Members, direct the operations of Empire GP and Empire Management.
Neither Mr. Fine nor Mr. Richards directly own any shares of Common Stock and/or Options. By
reason of the provisions of Rule 13d-3 of the Act, each may be deemed to beneficially own the
shares beneficially owned by Empire Capital, the Empire Overseas Fund, the Charter Oak Funds and
the Enhanced Master Fund.
9
Item 5. Ownership of Five Percent or Less of a Class.
Not applicable.
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
Empire GP, the general partner of Empire Capital, has the power to direct the affairs of
Empire Capital, including decisions respecting the disposition of the proceeds from the sale of the
Common Stock and/or Options. Empire Management, the investment manager of the Empire Overseas Fund
has the power to direct the affairs of the Empire Overseas Fund, including decisions respecting the
disposition of the proceeds from the sale of the Common Stock and/or Options. Empire Management,
pursuant to investment management agreements with Charter Oak, Charter Oak II and Charter Oak
Master, has the power to dispose of the proceeds from the sale of the Common Stock and/or Options
with respect to those assets of the Charter Oak Funds under its discretion. Empire Management,
pursuant to an investment management agreement with the Enhanced Master Fund, has the power to
dispose of the proceeds from the sale of the Common Stock and/or Options with respect to those
assets under its discretion. Messrs. Fine and Richards are the Members of Empire GP and Empire
Management, and in their capacities direct the operations of Empire GP and Empire Management.
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being
Reported on by the Parent Holding Company.
Not applicable.
Item 8. Identification and Classification of Members of the Group.
Not applicable.
Item 9. Notice of Dissolution of Group.
Not applicable.
Item 10. Certification.
Each of the Reporting Persons hereby makes the following certification:
By signing below I certify that, to the best of my knowledge and belief, the securities referred to
above were not acquired and are not held for the purpose of or with the effect of changing or
influencing the control of the issuer of the securities and were not acquired and are not held in
connection with or as a participant in any transaction having that purpose or effect.
10
SIGNATURES
After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that
the information set forth in this statement is true, complete and correct.
DATED: February 13, 2009
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By:
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/s/ Scott A. Fine
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Scott A. Fine, individually, and as
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member of Empire GP, L.L.C. and Empire
Capital Management, L.L.C.
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By:
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/s/ Peter J. Richards
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Peter J. Richards, individually, and as
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member of Empire GP, L.L.C. and Empire
Capital Management, L.L.C.
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11
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