Washington, D.C. 20549
(Amendment No. 4)*
Clarence E. Smith
St. Augustine, Florida 32084
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [_].
*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on 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 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.
CUSIP No. 743722100
This Amendment No. 4 to Schedule 13D, dated September 19, 2016 (this "Amendment No. 4"), 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"), and Amendment No. 3 to the Original 13D originally filed on July 11, 2016 (the "Amendment No. 3"). This Amendment No. 4 relates to the common stock, $0.0000053 par value, of ProtoKinetix, Incorporated ("ProtoKinetix"). This Amendment 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
No change.
ITEM 2. IDENTITY AND BACKGROUND
No change.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
On September 2, 2016, Mr. Smith purchased 1,250,000 shares of common stock of the Company in a private placement at $0.04 per share. On September 16, 2016, Mr. Smith purchased an additional 1,250,000 shares at $0.04 per share in the final closing of the same private placement.
Between July 8, 2016 and September 16, 2016, Mr. Smith's trust purchased 472,359 shares of common stock of the Company on the open market at a price that ranged from $0.046 to $0.054 per share.
ITEM 4. PURPOSE OF THE TRANSACTION
No change.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a) Mr. Smith beneficially owns 51,893,463 shares of common stock of ProtoKinetix which amounts to approximately 22.67% of the total number of common shares currently outstanding, of which 43,820,500 are owned directly by Mr. Smith, or held in a brokerage account for his benefit, 2,472,963 shares are owned indirectly by Mr. Smith through his trust, 1,850,000 are owned indirectly by Mr. Smith through his retirement account, and vested options to purchase 3,750,000 shares are owned directly by Mr. Smith.
(b) Mr. Smith has sole voting and dispositive power over 51,893,463 shares of common stock of ProtoKinetix.
(c) Between July 8, 2016 and September 16, 2016, Mr. Smith's trust purchased 472,359 shares of common stock of the Company on the open market at a price that ranged from $0.046 to $0.054 per share. On September 2, 2016, Mr. Smith purchased 1,250,000 shares of common stock of the Company in a private placement at $0.04 per share. On September 16, 2016, Mr. Smith purchased an additional 1,250,000 shares at $0.04 per share in the final closing of the same private placement.
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.