Smith Clarence Edward's Form 4 filing
ProtoKinetix, Inc. (PKTX) · filed Jan 4, 2023
- Accession no.
- 0001079973-23-000013
- Filed
- Jan 4, 2023, 6:03 PM ET
- Trade date
- Dec 14-30, 2022
- Filing delay
- 21 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 1 derivative transaction. Open-market purchases total $46.9K. It was filed 21 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Smith Clarence EdwardCIK 0001516077 | Director, Officer (President & CEO), 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 14, 2022 | Common Stock | PPurchaseAcquired | +94,089 | $0.024 | +$2,258.14 | 13,329,249 | Indirect | |
| Dec 15, 2022 | Common Stock | PPurchaseAcquired | +78,400 | $0.0296F3 | +$2,320.64 | 13,407,649 | Indirect | |
| Dec 16, 2022 | Common Stock | PPurchaseAcquired | +65,000 | $0.0306F4 | +$1,989 | 13,472,649 | Indirect | |
| Dec 21, 2022 | Common Stock | PPurchaseAcquired | +100,000 | $0.033 | +$3,300 | 13,572,649 | Indirect | |
| Dec 30, 2022 | Common Stock | PPurchaseAcquired | +1,850,000 | $0.02 | +$37,000 | 41,964,443 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 18, 2022 | Common Stock | JOtherDisposed | 0 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- 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.
Referenced by the price of 1 transaction in Table I.
- 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.
Referenced by the price of 1 transaction in Table I.