This Amendment No. 9 to Schedule 13D, dated January 12, 2018 (this "
Amendment No. 9
"), is being filed by the undersigned to amend the Schedule 13D originally filed on March 24, 2014 (the "
Original 13D
"), Amendment No. 1 to the Original 13D originally filed on July 8, 2015 (the "
Amendment No. 1
"), Amendment No. 2 to the Original 13D originally filed on May 5, 2016 (the "
Amendment No. 2
"), Amendment No. 3 to the Original 13D originally filed on July 11, 2016 (the "
Amendment No. 3
"), Amendment No. 4 to the Original 13D originally filed on September 19, 2016 (the "
Amendment No. 4
"), Amendment No. 5 to the Original 13D originally filed on November 7, 2016 (the "
Amendment No. 5
"), Amendment No. 6 to the Original 13D originally filed on December 7, 2016 (the "
Amendment No. 6
"), Amendment No. 7 to the Original 13D originally filed on December 22, 2016 (the "
Amendment No. 7
"), and Amendment No. 8 to the Original 13D originally filed on December 23, 2016 (the "
Amendment No. 8
"). This Amendment No. 9 relates to the common stock, $0.0000053 par value, of ProtoKinetix, Incorporated ("
ProtoKinetix
"). This Amendment No. 9 is being filed by Mr. Smith to report an increase in his beneficial ownership of common stock due to acquisitions by Mr. Smith of common stock of ProtoKinetix. Except as set forth herein, the Original Schedule 13D is unmodified.
ITEM 1. SECURITY AND ISSUER
The principal executive offices of ProtoKinetix are presently located at 412 Mulberry Street, Marietta, Ohio 45750.
ITEM 2. IDENTITY AND BACKGROUND
(c) Oil and gas industry entrepreneur. Mr. Smith's primary occupation is President, Chief Executive Officer and Director of ProtoKinetix. ProtoKinetix principal address is 412 Mulberry Street, Marietta, Ohio 45750.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
On January 12, 2018, Mr. Smith acquired a total of 2,259,240 shares of common stock of ProtoKinetix at a price of $0.05 per share in exchange for the cancellation of the principal and interest totaling $117,962.00 due to Mr. Smith under certain promissory notes.
ITEM 4. PURPOSE OF THE TRANSACTION
No change.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a)
Mr. Smith beneficially owns 72,226,336 shares of common stock of ProtoKinetix which amounts to approximately 27.2% of the total number of common shares currently outstanding, of which 56,179,740 are owned directly by Mr. Smith, or held in a brokerage account for his benefit, 2,946,626 shares are owned indirectly by Mr. Smith through his trust, 1,850,000 are owned indirectly by Mr. Smith through his retirement account, and 11,250,000 shares are owned directly by Mr. Smith by virtue of holding options exercisable in accordance with Rule 13d-1.
(b)
Mr. Smith has sole voting and dispositive power over 72,226,336 shares of common stock of ProtoKinetix.
(c)
On January 12, 2018, Mr. Smith acquired a total of 2,259,240 shares of common stock of ProtoKinetix at a price of $0.05 per share in exchange for the cancellation of the principal and interest totaling $117,962.00 due to Mr. Smith under certain promissory notes. On December 31, 2017, the fourth and final installment of a stock option granted to Mr. Smith on January 1, 2017 for 5,000,000 shares of common stock vested. Also on December 31, 2017, the first quarterly installment of a stock option granted to Mr. Smith on September 1, 2017 for 5,000,000 of common stock vested.
(d)
No other person has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the shares of common stock described herein, except as described in Item 6, below.
(e)
Not applicable.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO THE SECURITIES OF THE ISSUER.
No change.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
No change.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.