Statement of Changes in Beneficial Ownership (4)
July 17 2019 - 4:29PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
McDonough Edward P.
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2. Issuer Name
and
Ticker or Trading Symbol
ProtoKinetix, Inc.
[
PKTX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
1226 WASHINGTON AVENUE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
7/15/2019
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(Street)
PARKERSBURG, WV 26101
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option
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$0.08
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7/15/2019
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D
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1000000
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(1)
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12/31/2019
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Common Stock
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1000000
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$0.00
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0
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D
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Stock Option
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$0.26
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7/15/2019
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A
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2000000
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(2)
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7/14/2024
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Common Stock
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2000000
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$0.00
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$2000000
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D
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Stock Option
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$0.26
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7/15/2019
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A
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1000000
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(3)
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7/14/2024
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Common Stock
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1000000
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$0.00
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1000000
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D
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Stock Option
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$0.09
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(4)
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11/8/2023
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Common Stock
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1000000
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1000000
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D
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Stock Optioin
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$0.06
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(5)
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8/31/2021
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Common Stock
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1000000
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1000000
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D
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Stock Option
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$0.05
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(6)
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12/31/2020
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Common Stock
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1000000
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1000000
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D
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Explanation of Responses:
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(1)
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Cancellation of options with no value received. Options issued pursuant to the Company's 2015 Stock Option and Stock Bonus Plan on January 1, 2016. 250,000 shares of common stock vested on March 31, 2016; thereafter 250,000 shares vested every three months until fully vested on December 31, 2016.
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(2)
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Options issued pursuant to the Company's Amended 2017 Stock Option and Stock Bonus Plan on July 15, 2019. 500,000 shares of common stock vest on October 13, 2019; thereafter 500,000 shares vest every three months until fully vested on July 13, 2020.
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(3)
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Options issued pursuant to the Company's Amended 2017 Stock Option and Stock Bonus Plan on July 15, 2019. 250,000 shares of common stock vest on October 13, 2019; thereafter 250,000 shares vest every three months until fully vested on July 13, 2020.
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(4)
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Options issued pursuant to the Company's Amended 2017 Stock Option and Stock Bonus Plan on November 9, 2018. 250,000 shares of common stock vest on March 31, 2019; thereafter 250,000 shares vest every three months until fully vested on December 31, 2019.
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(5)
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Options issued pursuant to the Company's 2017 Stock Option and Stock Bonus Plan on September 1, 2017. 250,000 shares of common stock vested on December 31, 2017; thereafter 250,000 shares vested every three months until fully vested on September 20, 2018.
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(6)
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Options issued pursuant to the Company's 2017 Stock Option and Stock Bonus Plan on January 1, 2017. 250,000 shares of common stock vested on March 31, 2017; thereafter 250,000 shares vested every three months until fully vested on December 31, 2017.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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McDonough Edward P.
1226 WASHINGTON AVENUE
PARKERSBURG, WV 26101
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X
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Signatures
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/s/ Edward P. McDonough
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7/16/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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