This Amendment No. 6 to Schedule 13D, dated November 30, 2016 (this "Amendment No. 6"), 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") and Amendment No. 5 to the Original 13D originally filed on November 7, 2016 (the "Amendment No. 5"). This Amendment No. 6 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, including unintentionally omitted purchases of the Company's securities on the open market on October 12, 2016 and October 14, 2016. 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 October 12, 2016 and October 14, 2016, Mr. Smith's trust purchased a total of 105,900 shares of common stock of the Company on the open market at prices that ranged from $0.053 to $0.057 per share for a total amount of $5,808.35.
On November 30, 2016, Mr. Smith purchased 3,500,000 shares at $0.04 per share in a private placement for total proceeds of $140,000 to the Company.
ITEM 4. PURPOSE OF THE TRANSACTION
No change.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a) Mr. Smith beneficially owns 58,820,626 shares of common stock of ProtoKinetix which amounts to approximately 24.93% of the total number of common shares currently outstanding, of which 49,070,500 are owned directly by Mr. Smith, or held in a brokerage account for his benefit, 2,900,126 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 5,000,000 shares are owned directly by Mr. Smith.
(b) Mr. Smith has sole voting and dispositive power over 58,820,626 shares of common stock of ProtoKinetix.
(a) On October 12, 2016 and October 14, 2016, Mr. Smith's trust purchased a total of 105,900 shares of common stock of the Company on the open market at prices that ranged from $0.053 to $0.057 per share for a total amount of $5,808.35.
(b) On November 30, 2016, Mr. Smith purchased 3,500,000 shares at $0.04 per share in a private placement for gross proceeds of $140,000 to the Company.
(c) 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.
(d) 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.