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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Protagenic Therapeutics, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 28, 2025 |
Exhibit 99.1 PHYTANIX BIO, INC. AND SUBSIDIARIES CONSOLIDATED FINANCIAL STATEMENTS (IN US$) March 31, 2025 and 2024 CONTENTS Report of Independent Registered Public Accounting Firm (PCAOB ID: 6580) F-2 Consolidated Financial Statements: Consolidated Balance Sheets as of March 31, 2025 and 2024 F-3 Consolidated Statements of Operations and Comprehensive Loss - For the Years Ended March 31, 2025 and |
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| August 28, 2025 |
PROTAGENIC THERAPEUTICS, INC. PRO FORMA COMBINED BALANCE SHEETS March 31, 2025 Exhibit 99.2 PROTAGENIC THERAPEUTICS, INC. PRO FORMA COMBINED BALANCE SHEETS March 31, 2025 PHYTANIX BIO, INC. AND SUBSIDIARIES PROTAGENIC THERAPEUTICS, INC. AND SUBSIDIARY Adjustments Pro Forma Combined March 31, 2025 March 31, 2025 March 31, 2025 ASSETS Current assets: Cash in bank 14,531 872,960 314,924 1,202,415 Prepaid expenses and other current assets - 55,216 55,216 VAT receivable 73,524 - |
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| August 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): May 15, 2025 Protagenic Therapeutics, Inc.\new PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisd |
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| August 22, 2025 |
Protagenic Therapeutics Provides Update on Form 10-Q Filing Timeline and Nasdaq Compliance Exhibit 99.2 FOR IMMEDIATE RELEASE Protagenic Therapeutics Provides Update on Form 10-Q Filing Timeline and Nasdaq Compliance New York, NY – August 22, 2025 – Protagenic Therapeutics, Inc. (Nasdaq: PTIX) (the “Company”) today announced that it expects to file its Quarterly Report on Form 10-Q for the period ended June 30, 2025 in the near future, following a delay attributable to the completion of |
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| August 22, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): August 7, 2025 Protagenic Therapeutics, Inc.\new PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisd |
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| August 22, 2025 |
Exhibit 16.1 |
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| August 22, 2025 |
Exhibit 99.1 |
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| August 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐Form N-SAR ☐ Form N-CSR For Period Ended: June 30, 2025 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report on F |
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| August 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): August 7, 2025 PROTAGENIC THERAPEUTICS, INC. Protagenic Therapeutics, Inc.\new (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisd |
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| July 30, 2025 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Protagenic Therapeutics Announces Grant of new patent in Japan for its Modified Stilbenoid Program Drug Candidates NEW YORK, NY and SANTA BARBARA, CA, July 30, 2025 Protagenic Therapeutics, Inc. (Nasdaq: PTIX) (the “Company”) today announces that on July 18, 2025, the Japanese Patent Office granted Patent JP 7714571B, a patent which runs until March 31, 2041. Thi |
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| July 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): July 18, 2025 PROTAGENIC THERAPEUTICS, INC. Protagenic Therapeutics, Inc.\new (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdi |
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| July 24, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): July 18, 2025 Protagenic Therapeutics, Inc.\new PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdi |
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| June 27, 2025 |
Material Modification to Rights of Security Holders, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): June 24, 2025 PROTAGENIC THERAPEUTICS, INC. Protagenic Therapeutics, Inc.\new (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdi |
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| May 21, 2025 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): May 15, 2025 PROTAGENIC THERAPEUTICS, INC. Protagenic Therapeutics, Inc.\new (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdic |
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| May 21, 2025 |
Protagenic Therapeutics Receives $3.1 Million from Recent Warrant Activity Exhibit 99.1 FOR IMMEDIATE RELEASE Protagenic Therapeutics Receives $3.1 Million from Recent Warrant Activity NEW YORK, NY, May 21, 2025 — Protagenic Therapeutics, Inc. (Nasdaq: PTIX) (the “Company”) announced today that warrant exchanges and exercises over the last four trading days have generated $3.1 million in cash for the Company. The proceeds will fund working-capital needs and advance the C |
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| May 20, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): May 20, 2025 PROTAGENIC THERAPEUTICS, INC.Protagenic Therapeutics, Inc.\new (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdict |
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| May 20, 2025 |
FORM OF WARRANT EXCHANGE AGREEMENT Exhibit 10.1 FORM OF WARRANT EXCHANGE AGREEMENT This Warrant Exchange Agreement (this “Agreement”) is made and entered into as of May 20, 2025 (the “Effective Date”), by and among Protagenic Therapeutics Inc., a Delaware corporation (the “Company”), and (the “Holder” and, together with the Company, the “parties”). RECITALS WHEREAS, the Holder currently owns, or will own, warrants (collectively, th |
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| May 19, 2025 |
Exhibit 3.1 PROTAGENIC therapeutics, inc. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES C NON-VOTING CONVERTIBLE PREFERRED STOCK Pursuant to Section 151 of the General Corporation Law of the State of Delaware THE UNDERSIGNED DOES HEREBY CERTIFY, on behalf of Protagenic Therapeutics, Inc., a Delaware corporation (the “Corporation”), that the following resolution was du |
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| May 19, 2025 |
Exhibit 4.1 [FORM OF WARRANT] NEITHER THE ISSUANCE AND SALE OF THE SECURITIES REPRESENTED BY THIS CERTIFICATE NOR THE SECURITIES INTO WHICH THESE SECURITIES ARE EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATI |
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| May 19, 2025 |
FORM OF PURCHASER STOCKHOLDER SUPPORT AGREEMENT Protagenic Therapeutics, Inc. SUPPORT AGREEMENT Exhibit 10.2 FORM OF PURCHASER STOCKHOLDER SUPPORT AGREEMENT Protagenic Therapeutics, Inc. SUPPORT AGREEMENT THIS SUPPORT AGREEMENT (this “Agreement”), dated as of May 15, 2025 (the “Effective Date”), is made by and between Protagenic Therapeutics, Inc., a Delaware corporation (“Purchaser”), and the undersigned holder (“Stockholder”) of shares of capital stock (the “Shares”) of Purchaser. WHEREAS, |
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| May 19, 2025 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Protagenic Therapeutics and Phytanix Announce Business Combination to form Neuroactive Biopharmaceutical Company with Six Drug Candidates in Development including Treatments for Obesity and Metabolic Disorders NEW YORK, NY and SANTA BARBARA, CA, May 19, 2025 — Protagenic Therapeutics, Inc. (Nasdaq: PTIX) (the “Company”) and Phytanix Bio Inc. have entered into a d |
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| May 19, 2025 |
Exhibit 10.4 FORM OF REPURCHASE AGREEMENT This REPURCHASE AGREEMENT (this “Agreement”), dated as of May 15, 2025 (the “Effective Date”), is made and entered into by and among ALTEROLA BIOTECH INC., a Nevada corporation “Alterola”), EMC2 CAPITAL LLC, a Wyoming limited liability company (“EMC2” and, together with Alterola, “Optionees” and each, an “Optionee”) and PROTAGENIC THERAPEUTICS, INC., a Del |
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| May 19, 2025 |
Exhibit 10.3 LOCK-UP AGREEMENT May 15, 2025 Protagenic Therapeutics, Inc. Re: Share Exchange Agreement, dated as of May 15, 2025 (the “Exchange Agreement”), by and between Protagenic Therapeutics, Inc. (the “Company”) and Alterola Biotech Inc., a Nevada corporation and EMC2 Capital LLC, a Wyoming limited liability company (“Sellers”) Ladies and Gentlemen: Defined terms not otherwise defined in thi |
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| May 19, 2025 |
Exhibit 3.2 PROTAGENIC therapeutics, inc. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES C-1 NON-VOTING CONVERTIBLE PREFERRED STOCK Pursuant to Section 151 of the General Corporation Law of the State of Delaware THE UNDERSIGNED DOES HEREBY CERTIFY, on behalf of Protagenic Therapeutics, Inc., a Delaware corporation (the “Corporation”), that the following resolution was |
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| May 19, 2025 |
Exhibit 10.1 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is dated as of May 15, 2025, by and between Protagenic Therapeutics, Inc., a Delaware corporation (the “Company”), Alterola Biotech Inc., a Nevada corporation (“Alterola”) and EMC2 Capital LLC (“EMC2”). This Agreement is made in connection with the Share Exchange Agreement, dated as of May 15, 2025 (th |
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| May 19, 2025 |
Exhibit 2.1 SHARE EXCHANGE AGREEMENT relating to PHYTANIX BIO, a Nevada corporation by and between Protagenic Therapeutics, INc., a Delaware corporation, Alterola biotech inc., a Nevada corporation, EMC2 CAPITAL LLC, a Wyoming limited liability company, the preferred stockholders of Phytanix Bio set forth on Schedule A hereto, And Colin Stott, as Sellers’ Representative dated as of May 15, 2025 Ta |
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| May 19, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): May 15, 2025 Protagenic Therapeutics, Inc.\new PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdic |
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| May 19, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defi |
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| May 19, 2025 |
Exhibit 3.3 CERTIFICATE OF DESIGNATIONS OF RIGHTS AND PREFERENCES OF SERIES D CONVERTIBLE PREFERRED STOCK OF PROTAGENIC THERAPEUTICS, INC. Pursuant to Section 151 of the General Corporation Law of the State of Delaware THE UNDERSIGNED DOES HEREBY CERTIFY, on behalf of Protagenic Therapeutics, Inc., a Delaware corporation (the “Company”), a corporation organized and existing Section 151 of the Gene |
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| May 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2025 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-12555 PROTAGENI |
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| May 5, 2025 |
Exhibit 3.1 Amendment to Third Amended and Restated Certificate of Incorporation of the Company CERTIFICATE OF AMENDMENT OF THIRD AMENDED AND RESTATED RESTATED CERTIFICATE OF INCORPORATION OF PROTAGENIC THERAPEUTICS, INC. Protagenic Therapeutics, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Company”), does hereby certi |
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| May 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): May 2, 2025 PROTAGENIC THERAPEUTICS, INC. Protagenic Therapeutics, Inc.\new (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdict |
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| April 29, 2025 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): April 29, 2025 PROTAGENIC THERAPEUTICS, INC. Protagenic Therapeutics, Inc.\new (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisd |
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| April 29, 2025 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Protagenic Therapeutics to Effect 1-for-14 Reverse Stock Split Measure taken to Comply with Nasdaq Rule 5550(a)(2) Regarding Minimum Bid Price April 29, 2025 — NEW YORK — Protagenic Therapeutics, Inc. (Nasdaq: PTIX) (“Protagenic Therapeutics” or the “Company”), a leader in biopharmaceutical innovation, today announced that the Company’s Board of Directors has app |
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| April 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): April 18, 2025 PROTAGENIC THERAPEUTICS, INC. Protagenic Therapeutics, Inc.\new (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisd |
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| March 31, 2025 |
Protagenic Therapeutics, Inc. Insider Trading Policy Exhibit 19.1 MEMORANDUM TO: Protagenic Therapeutics, Inc. Directors, Officers and Employees FROM: Garo Armen, Ph.D., Executive Chairman DATE: May 26, 2021 RE: Insider Trading Policy Enclosed is a copy of the Insider Trading Policy (the “Policy”) for Protagenic Therapeutics, Inc. and its subsidiaries (collectively, the “Company”). As described in the Policy, violations of the insider trading laws c |
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| March 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For fiscal year ended: December 31, 2024 OR ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-12555 Protagenic Therapeutics, Inc. (Exact nam |
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| March 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2t2)) ☒ Definitive Proxy Sta |
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| February 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2t2)) ☐ Definitive Proxy Sta |
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| February 24, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): February 21, 2025 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdiction of incorporation) (Commi |
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| February 24, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): February 21, 2025 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdiction of incorporation) (Commi |
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| January 29, 2025 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): January 22, 2025 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdiction of incorporation) (Commis |
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| January 16, 2025 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): January 15, 2025 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdiction of incorporation) (Commis |
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| January 10, 2025 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): January 9, 2025 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdiction of incorporation) (Commiss |
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| January 10, 2025 |
Exhibit 1.1 First Amendment to At Market Issuance Sales Agreement This First Amendment to the At Market Issuance Sales Agreement is entered into as of January 9, 2025 (the “Amendment”), by and between Protagenic Therapeutics, Inc. (the “Company”) and B. Riley Securities, Inc. (“BRS” or the “Agent” and, together with the Company, the “Parties”). The Company and the Agent are parties to that certain |
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| January 10, 2025 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-280244 PROSPECTUS SUPPLEMENT (To Prospectus dated January 8, 2025) $1,200,000 Common Stock In accordance with the terms of the Common Stock Sales Agreement, dated as of July 2, 2021, as amended on January 9, 2025, or the sales agreement, that we entered into with B. Riley Securities, Inc. (the “Sales Agent”), we may offer and sell shares of our |
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| January 7, 2025 |
Protagenic Therapeutics, Inc. 149 Fifth Avenue New York, NY 10010 Protagenic Therapeutics, Inc. 149 Fifth Avenue New York, NY 10010 January 7, 2025 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Re: Protagenic Therapeutics, Inc. Registration Statement on Form S-3 Originally filed June 14, 2024, as amended on January 7, 2025 File No. 333-280244 Ladies and Gentlemen: Pursuant to Ru |
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| January 7, 2025 |
As filed with the Securities and Exchange Commission on January 7, 2025 As filed with the Securities and Exchange Commission on January 7, 2025 Registration No. |
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| January 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defi |
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| January 3, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| December 30, 2024 |
Protagenic Therapeutics, Inc. 149 Fifth Avenue New York, NY 10010 Protagenic Therapeutics, Inc. 149 Fifth Avenue New York, NY 10010 December 30, 2024 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Re: Protagenic Therapeutics, Inc. Registration Statement on Form S-3 Filed June 14, 2024 File No. 333-280244 Ladies and Gentlemen: Reference is made to our letter, filed as corresponden |
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| December 27, 2024 |
PROTAGENIC THERAPEUTICS, INC. 5,844,885 Shares of Common Stock Filed pursuant to Rule 424(b)(3) Registration Statement No. 333-283949 PROSPECTUS PROTAGENIC THERAPEUTICS, INC. 5,844,885 Shares of Common Stock The selling stockholders named in this prospectus may use this prospectus to offer and resell from time to time up to 5,844,885 shares of our common stock, par value $0.0001 per share, which are comprised of (i) 1,948,295 shares (the “Shares”) of our comm |
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| December 23, 2024 |
Protagenic Therapeutics, Inc. 149 Fifth Avenue New York, NY 10010 Protagenic Therapeutics, Inc. 149 Fifth Avenue New York, NY 10010 December 23, 2024 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Re: Protagenic Therapeutics, Inc. Registration Statement on Form S-1 Filed December 20, 2024 File No. 333-283949 Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1 |
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| December 20, 2024 |
As filed with the Securities and Exchange Commission on December 19, 2024 As filed with the Securities and Exchange Commission on December 19, 2024 Registration Statement No. |
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| December 20, 2024 |
Exhibit 107 Calculation of Filing Fee Tables FORM S-1 (Form Type) PROTAGENIC THERAPEUTICS, INC. |
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| December 20, 2024 |
Protagenic Therapeutics, Inc. 149 Fifth Avenue New York, NY 10010 Protagenic Therapeutics, Inc. 149 Fifth Avenue New York, NY 10010 December 20, 2024 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Re: Protagenic Therapeutics, Inc. Registration Statement on Form S-3 Filed June 14, 2024 File No. 333-280244 Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1933 |
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| December 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| December 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): November 29, 2024 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdiction of incorporation) (Commi |
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| November 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): November 19, 2024 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdiction of incorporation) (Commi |
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| November 14, 2024 |
PTIX / Protagenic Therapeutics, Inc. / ARMISTICE CAPITAL, LLC Passive Investment SC 13G/A 1 armistice-ptix093024a3.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* PROTAGENIC THERAPEUTICS, INC. (Name of Issuer) Common Stock, par value $0.0001 (Title of Class of Securities) 74365N202 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check |
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| November 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2024 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-12555 PROTA |
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| November 5, 2024 |
Exhibit 99.1 Protagenic Therapeutics Announces Closing of Private Placement for Aggregate Gross Proceeds of $1.275 Million NEW YORK, Nov. 5, 2024 – Protagenic Therapeutics, Inc. (Nasdaq: PTIX) (“Protagenic Therapeutics” or the “Company”), a leader in biopharmaceutical innovation, announced today that on November 4, 2024 it closed its previously announced private placement pursuant to a purchase ag |
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| November 5, 2024 |
Regulation FD Disclosure, Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): November 4, 2024 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdiction of incorporation) (Commis |
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| October 30, 2024 |
Exhibit 99.1 Protagenic Therapeutics Announces Pricing of Private Placement for Aggregate Gross Proceeds of $1.275 Million NEW YORK, Oct. 29, 2024 – Protagenic Therapeutics, Inc. (Nasdaq: PTIX) (“Protagenic Therapeutics” or the “Company”), a leader in biopharmaceutical innovation, announced today it has entered into a purchase agreement (the “Purchase Agreement”) for the purchase and sale of an ag |
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| October 30, 2024 |
Form of Series A Common Stock Purchase Warrant Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| October 30, 2024 |
Form of Registration Rights Agreement Exhibit 10.2 EXHIBIT B REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of October 29, 2024, by and between Protagenic Therapeutics, Inc., a Delaware corporation (the “Company”), and each of the several purchasers signatory hereto (each such purchaser, a “Purchaser” and, collectively, the “Purchasers”). This Agreement is made pursuant |
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| October 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): October 29, 2024 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdiction of incorporation) (Commis |
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| October 30, 2024 |
Form of Securities Purchase Agreement Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of October 29, 2024, between Protagenic Therapeutics, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and co |
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| October 30, 2024 |
Form of Series B Common Stock Purchase Warrant Exhibit 4.2 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| October 30, 2024 |
Form of Placement Agent Warrant Exhibit 4.3 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| September 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): September 17, 2024 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdiction of incorporation) (Comm |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2024 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-12555 PROTAGENIC |
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| July 26, 2024 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): July 24, 2024 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdiction of incorporation) (Commissio |
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| June 14, 2024 |
Exhibit 4.5 PROTAGENIC THERAPEUTICS, INC. Company AND [TRUSTEE] Trustee INDENTURE Dated as of [●], 20[●] Subordinated Debt Securities TABLE OF CONTENTS ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms. 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 5 Section 2.01 Designation and Terms of Securities. 5 Section 2.02 Form of Securities and Trustee’s |
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| June 14, 2024 |
As filed with the Securities and Exchange Commission on June 14, 2024 As filed with the Securities and Exchange Commission on June 14, 2024 Registration No. |
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| June 14, 2024 |
EXHIBIT 4.4 PROTAGENIC THERAPEUTICS, INC. Issuer AND [TRUSTEE] Trustee INDENTURE Dated as of [●], 20[●] Senior Debt Securities TABLE OF CONTENTS ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms. 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 5 Section 2.01 Designation and Terms of Securities. 5 Section 2.02 Form of Securities and Trustee’s Certif |
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| June 14, 2024 |
Exhibit 107 Calculation of Filing Fee Table Form S-3 (Form Type) Protagenic Therapeutics, Inc. |
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| May 24, 2024 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): May 22, 2024 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdiction of incorporation) (Commission |
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| May 22, 2024 |
Exhibit 99.1 Protagenic Therapeutics’ Stress-Regulating Peptide Demonstrates Exceptional Safety in Single Dose Portion of Phase I Trial, Paving the Way for Next Steps Toward Potential Breakthrough Treatments in Stress Related Neuropsychiatric Disorders No Clinically-Relevant Adverse Events Reported in Single Dose Portion, Multiple Dose Portion to Commence Investor Call Scheduled for today, Wednesd |
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| May 22, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): May 22, 2024 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdiction of incorporation) (Commission |
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| May 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2024 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-12555 PROTAGENI |
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| May 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A ☒ ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For fiscal year ended: December 31, 2023 OR ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-12555 Protagenic Therapeutics, Inc. (Exact n |
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| April 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A ☒ ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For fiscal year ended: December 31, 2023 OR ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-12555 Protagenic Therapeutics, Inc. (Exact n |
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| April 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For fiscal year ended: December 31, 2023 OR ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-12555 Protagenic Therapeutics, Inc. (Exact nam |
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| April 1, 2024 |
Exhibit 97 PROTAGENIC THERAPEUTICS, INC. POLICY FOR RECOVERY OF ERRONEOUSLY AWARDED INCENTIVE COMPENSATION (Adopted April 1, 2024) 1. INTRODUCTION Protagenic Therapeutics, Inc. (the “Company”) is adopting this policy (this “Policy”) to provide for the Company’s recovery of certain Incentive Compensation (as defined below) erroneously awarded to Affected Officers (as defined below) under certain ci |
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| April 1, 2024 |
Exhibit 99.2 Charter of the Compensation Committee of the Board of Directors of Protagenic Therapeutics, Inc. (the “Company”) Purpose The principal purpose of the Compensation Committee (the “Committee”) of the Board of Directors (the “Board”) is to approve, administer and interpret the Company’s executive and key employee compensation and benefit policies, including the Company’s equity incentive |
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| April 1, 2024 |
Exhibit 99.3 Charter of the Corporate Governance and Nominating Committee of the Board of Directors of Protagenic Therapeutics, Inc. (the “Company”) Function The Corporate Governance and Nominating Committee (the “Committee”) shall, among other things, review and recommend policies to the Board of Directors of the Company (the “Board”) regarding Board procedures, Board leadership, the process for |
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| April 1, 2024 |
Exhibit 21.1 SUBSIDIARIES OF PROTAGENIC THERAPEUTICS, INC. Subsidiary Jurisdiction of Organization/Incorporation Protagenic Therapuetics Canada (2006) Inc. Canada |
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| April 1, 2024 |
Exhibit 4.1 DESCRIPTION OF SECURITIES pursuant to section 12 of the securities exchange act of 11934 The following description is intended as a summary of our third amended and restated certificate of incorporation (which we refer to as our “charter”) and our bylaws, and to the applicable provisions of the Delaware General Corporation Law. Because the following is only a summary, it does not conta |
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| April 1, 2024 |
Exhibit 99.1 Charter of the Audit Committee of the Board of Directors of Protagenic Therapeutics, Inc. Purpose The principal purpose of the Audit and Finance Committee (the “Committee”) is to assist the Board of Directors (the “Board”) of Protagenic Therapeutics, Inc. (the “Company”) in fulfilling its responsibility to oversee the Company’s accounting and financial reporting processes and audits o |
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| March 21, 2024 |
Protagenic Therapeutics Announces Resolution of Nasdaq Deficiency Notice Exhibit 99.1 FOR IMMEDIATE RELEASE Protagenic Therapeutics Announces Resolution of Nasdaq Deficiency Notice NEW YORK, March 21, 2024 — Protagenic Therapeutics, Inc. (Nasdaq: PTIX), a biopharmaceutical innovator, regained compliance with Nasdaq Listing Rule 5550(a)(2) as the closing bid price of shares of PTIX has remained above $1.00 per share for ten consecutive trading days. This resolves the is |
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| March 21, 2024 |
Regulation FD Disclosure, Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): March 19, 2024 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdiction of incorporation) (Commissi |
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| February 14, 2024 |
US74365N2027 / PROTAGENIC THERA / ARMISTICE CAPITAL, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| December 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): December 13, 2023 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdiction of incorporation) (Commi |
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| November 29, 2023 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): November 21, 2023 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdiction of incorporation) (Commi |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2023 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-12555 PROTA |
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| November 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| August 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2023 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-12555 PROTAGENIC |
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| May 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2023 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-12555 PROTAGENI |
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| April 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1 ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-51353 Protage |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For fiscal year ended: December 31, 2022 OR ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-51353 Protagenic Therapeutics, Inc. (Exact nam |
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| March 31, 2023 |
Exhibit 99.2 Charter of the Compensation Committee of the Board of Directors of Protagenic Therapeutics, Inc. (the “Company”) Purpose The principal purpose of the Compensation Committee (the “Committee”) of the Board of Directors (the “Board”) is to approve, administer and interpret the Company’s executive and key employee compensation and benefit policies, including the Company’s equity incentive |
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| March 31, 2023 |
Exhibit 21.1 SUBSIDIARIES OF PROTAGENIC THERAPEUTICS, INC. Subsidiary Jurisdiction of Organization/Incorporation Protagenic Therapuetics Canada (2006) Inc. Canada |
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| March 31, 2023 |
Exhibit 99.3 Charter of the Corporate Governance and Nominating Committee of the Board of Directors of Protagenic Therapeutics, Inc. (the “Company”) Function The Corporate Governance and Nominating Committee (the “Committee”) shall, among other things, review and recommend policies to the Board of Directors of the Company (the “Board”) regarding Board procedures, Board leadership, the process for |
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| March 31, 2023 |
Exhibit 99.1 Charter of the Audit Committee of the Board of Directors of Protagenic Therapeutics, Inc. Purpose The principal purpose of the Audit and Finance Committee (the “Committee”) is to assist the Board of Directors (the “Board”) of Protagenic Therapeutics, Inc. (the “Company”) in fulfilling its responsibility to oversee the Company’s accounting and financial reporting processes and audits o |
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| March 31, 2023 |
Exhibit 4.1 DESCRIPTION OF SECURITIES pursuant to section 12 of the securities exchange act of 11934 The following description is intended as a summary of our third amended and restated certificate of incorporation (which we refer to as our “charter”) and our bylaws, and to the applicable provisions of the Delaware General Corporation Law. Because the following is only a summary, it does not conta |
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| March 22, 2023 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THIRD AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF PROTAGENIC THERAPEUTICS, INC. (Pursuant to Section 242 of the General Corporation Law of the State of Delaware) Protagenic Therapeutics, Inc., a corporation organized and existing under and by virtue of the provisions of the General Corporation Law of the State of Delaware (the “General Corporation L |
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| March 22, 2023 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Protagenic Therapeutics to Effect 1-for-4 Reverse Stock Split Measure taken to Comply with Nasdaq Rule 5550(a)(2) Regarding Minimum Bid Price March 22, 2023 — NEW YORK — Protagenic Therapeutics, Inc. (Nasdaq: PTIX, the “Company”) a biopharmaceutical company focused on developing therapies to treat stress-related neurologic disorders, today announced that the Comp |
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| March 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): March 21, 2023 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdiction of incorporation) (Commissi |
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| February 14, 2023 |
PTIX / Protagenic Therapeutics Inc / ARMISTICE CAPITAL, LLC Passive Investment SC 13G/A 1 armistice-ptix123122a1.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* PROTAGENIC THERAPEUTICS, INC. (Name of Issuer) Common Stock, par value $0.0001 (Title of Class of Securities) 74365N103 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check t |
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| November 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): November 23, 2022 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdiction of incorporation) (Commi |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2022 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-12555 PROTA |
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| October 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| September 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): August 30, 2022 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdiction of incorporation) (Commiss |
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| August 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2022 or ? Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 000-51353 PROTAGENIC |
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| June 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): June 29, 2022 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 001-12555 06-1390025 (State or other jurisdiction of incorporation) (Commissio |
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| May 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2022 or ? Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 000-51353 PROTAGENI |
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| April 7, 2022 |
Exhibit 99.2 Charter of the Compensation Committee of the Board of Directors of Protagenic Therapeutics, Inc. (the ?Company?) Purpose The principal purpose of the Compensation Committee (the ?Committee?) of the Board of Directors (the ?Board?) is to approve, administer and interpret the Company?s executive and key employee compensation and benefit policies, including the Company?s equity incentive |
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| April 7, 2022 |
Exhibit 99.1 Charter of the Audit Committee of the Board of Directors of Protagenic Therapeutics, Inc. Purpose The principal purpose of the Audit and Finance Committee (the ?Committee?) is to assist the Board of Directors (the ?Board?) of Protagenic Therapeutics, Inc. (the ?Company?) in fulfilling its responsibility to oversee the Company?s accounting and financial reporting processes and audits o |
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| April 7, 2022 |
Exhibit 99.3 Charter of the Corporate Governance and Nominating Committee of the Board of Directors of Protagenic Therapeutics, Inc. (the ?Company?) Function The Corporate Governance and Nominating Committee (the ?Committee?) shall, among other things, review and recommend policies to the Board of Directors of the Company (the ?Board?) regarding Board procedures, Board leadership, the process for |
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| April 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For fiscal year ended: December 31, 2021 OR ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-51353 Protagenic Therapeutics, Inc. (Exact nam |
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| April 7, 2022 |
Exhibit 4.1 DESCRIPTION OF SECURITIES pursuant to section 12 of the securities exchange act of 11934 The following description is intended as a summary of our third amended and restated certificate of incorporation (which we refer to as our ?charter?) and our bylaws, and to the applicable provisions of the Delaware General Corporation Law. Because the following is only a summary, it does not conta |
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| April 7, 2022 |
Exhibit 21.1 SUBSIDIARIES OF PROTAGENIC THERAPEUTICS, INC. Subsidiary Jurisdiction of Organization/Incorporation Protagenic Therapuetics Canada (2006) Inc. Canada |
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| March 31, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ??Form 10-K ??Form 20-F ??Form 11-K ??Form 10-Q ??Form 10-D ??Form N-SAR? ? Form N-CSR For Period Ended: December 31, 2021 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Report on Form 10-Q ? Transition Report |
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| March 8, 2022 |
Exh. 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) Protagenic Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Title of Securities to be Registered Fee Calculation Rule Amount to be Registered (1) Proposed Maximum Offering Price Per Share Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Eq |
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| March 8, 2022 |
As filed with the Securities and Exchange Commission on March 8, 2022 S-8 1 forms-8.htm As filed with the Securities and Exchange Commission on March 8, 2022 Registration No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 PROTAGENIC THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware 06-1390025 (State or other jurisdiction of Incorporation or orga |
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| February 15, 2022 |
Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including additional amendments thereto) with respect to the shares of Common Stock, par value $0.0001, of Protagenic Therapeutics, Inc. This Joint Filing Agreement |
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| February 15, 2022 |
PTIX / Protagenic Therapeutics Inc / ARMISTICE CAPITAL, LLC - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 4, 2022 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 6)* Protagenic Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 74365N103 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| November 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2021 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 000-51353 PROTA |
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| October 5, 2021 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): October 1, 2021 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Commiss |
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| October 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): September 29, 2021 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Comm |
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| October 1, 2021 |
Amended and Restated Certificate of Incorporation EX-3.1 2 ex3-1.htm Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THIRD AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF PROTAGENIC THERAPEUTICS, INC. The corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware does hereby certify: FIRST: That at a meeting of the Board of Directors of Protagenic Therapeutics, Inc. resolutions were duly adopted se |
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| September 14, 2021 |
Protagenic Therapeutics, Inc. 149 Fifth Avenue New York, NY 10010 Protagenic Therapeutics, Inc. 149 Fifth Avenue New York, NY 10010 September 14, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Re: Protagenic Therapeutics, Inc. Registration Statement on Form S-3/A Filed September 10, 2021 File No. 333-258825 Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act |
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| September 10, 2021 |
As filed with the Securities and Exchange Commission on September 10, 2021 S-3/A 1 forms-3a.htm As filed with the Securities and Exchange Commission on September 10, 2021 Registration No. 333-258825 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Pre-Effective Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Protagenic Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 06-1390025 ( |
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| September 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| August 19, 2021 |
Regulation FD Disclosure, Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): August 17, 2021 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Commiss |
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| August 19, 2021 |
Protagenic Therapeutics Announces Second Quarter 2021 Results and Provides Business Update Exhibit 99.1 FOR IMMEDIATE RELEASE Protagenic Therapeutics Announces Second Quarter 2021 Results and Provides Business Update August 17, 2021 ? NEW YORK ? Protagenic Therapeutics, Inc. (Nasdaq: PTIX) a biopharmaceutical company focused on developing therapies to treat stress-related neurologic disorders, today announced results for the second quarter ended June 30, 2021. Recent Highlights ? Receiv |
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| August 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2021 or ? Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 000-51353 PROTAGENIC |
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| August 13, 2021 |
S-3 1 forms-3.htm As filed with the Securities and Exchange Commission on August 13, 2021 Registration No. - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Protagenic Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 06-1390025 (State or Other Jurisdiction of Incorporation or |
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| July 26, 2021 |
Regulation FD Disclosure, Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): April 23, 2021 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Commissi |
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| July 26, 2021 |
Exhibit 99.1 Protagenic Therapeutics Updates Timeline for Commencement of Patient Enrollment for PT00114 Clinical Trial July 23, 2021 ? NEW YORK ? Protagenic Therapeutics, Inc. (Nasdaq: PTIX) a biopharmaceutical company focused on developing therapies to treat stress-related neurologic disorders, today announced that upon reviewing its investigational new drug (IND) application filed on June 29th, |
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| July 2, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (date of earliest event reported): July 2, 2021 Protagenic Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Commiss |
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| July 2, 2021 |
Youâve Exceeded the SECâs Traffic Limit U.S. Securities and Exchange Commission Youâve Exceeded the SECâs Traffic Limit Your request rate has exceeded the SECâs maximum allowable requests per second. Your access to SEC.gov will be limited for 10 minutes. Current guidelines limit each user to a total of no more than 10 requests per second, regardless of the number of machines used to submit requests. To ensure that SEC.gov remains |
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| July 2, 2021 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-256790 PROSPECTUS SUPPLEMENT (To Prospectus dated June 23, 2021) $10,000,000 Common Stock In accordance with the terms of the Common Stock Sales Agreement, dated as of July 2, 2021, or the sales agreement, that we entered into with B. Riley Securities, Inc. (?B. Riley Securities?) and EF Hutton, division of Benchmark Investments, LLC (?EF Hutto |
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| June 21, 2021 |
As filed with the Securities and Exchange Commission on June 21, 2021 S-3/A 1 forms-3a.htm As filed with the Securities and Exchange Commission on June 21, 2021 Registration No. 333-256790 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Protagenic Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 149 Fifth Avenue New York, New |
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| June 21, 2021 |
Protagenic Therapeutics, Inc. 149 Fifth Avenue New York, NY 10010 Protagenic Therapeutics, Inc. 149 Fifth Avenue New York, NY 10010 June 21, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Re: Protagenic Therapeutics, Inc. Registration Statement on Form S-3 Filed June 21, 2021 File No. 333-256790 Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1933 and |
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| June 4, 2021 |
EX-4.4 2 ex4-4.htm EXHIBIT 4.4 PROTAGENIC THERAPEUTICS, INC. Issuer AND [TRUSTEE] Trustee INDENTURE Dated as of [●], 20[●] Senior Debt Securities TABLE OF CONTENTS ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms. 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 5 Section 2.01 Designation and Terms of Securities. 5 Section 2.02 Form of Securities a |
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| June 4, 2021 |
Exhibit 4.5 PROTAGENIC THERAPEUTICS, INC. Company AND [TRUSTEE] Trustee INDENTURE Dated as of [?], 20[?] Subordinated Debt Securities TABLE OF CONTENTS ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms. 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 5 Section 2.01 Designation and Terms of Securities. 5 Section 2.02 Form of Securities and Trustee?s |
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| June 4, 2021 |
As filed with the Securities and Exchange Commission on June 4, 2021 Registration No. |
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| May 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [X] Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2021 or [ ] Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 000-51353 PROTA |
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| May 17, 2021 |
Exhibit 10.1 PROMISSORY NOTE $100,000.00 March 1, 2021 For value received, PROTAGENIC THERAPEUTICS, INC., a Delaware corporation (the ?Borrower?), promises to pay to PATRICE MCNICOLL, an individual, or his assigns (the ?Holder?), the principal sum of $100,000.00 (U.S. Dollars), together with all accrued and unpaid interest thereon as set forth below. Except as otherwise set forth herein, the princ |
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| April 30, 2021 |
EX-1.1 2 ex1-1.htm Exhibit 1.1 UNDERWRITING AGREEMENT between PROTAGENIC THERAPEUTICS, INC. and KINGSWOOD CAPITAL MARKETS, division of Benchmark Investments, Inc., as Representative of the Several Underwriters PROTAGENIC THERAPEUTICS, INC. UNDERWRITING AGREEMENT New York, New York April 26, 2021 Kingswood Capital Markets, division of Benchmark Investments, Inc. as Representative of the several Und |
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| April 30, 2021 |
Exhibit 99.2 Protagenic Therapeutics, Inc. Announces Closing of $13.2 Million Public Offering and Uplisting to Nasdaq New York?April 29, 2021? Protagenic Therapeutics, Inc. (NASDAQ:PTIX) (?PTIX? or ?Company?) today announced the closing of an underwritten public offering of 3,180,000 units at a public offering price of $4.15 per unit. Each unit is comprised of one share of common stock and one war |
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| April 30, 2021 |
Exhibit 99.1 Protagenic Therapeutics, Inc. Announces Nasdaq Uplisting and Pricing of $13.2 Million Public Offering New York?April 26, 2021? Protagenic Therapeutics, Inc. (NASDAQ:PTIX) (?PTIX? or ?Company?) today announced the pricing of an underwritten public offering of 3,180,000 units at a public offering price of $4.15 per unit for aggregate gross proceeds of approximately $13.2 million prior t |
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| April 30, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): April 26, 2021 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Commissi |
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| April 28, 2021 |
Filed Pursuant to Rule 424(b)(4) Registration No. 333-253006 and 333-255525 PROSPECTUS 3,180,000 Units Each unit of consisting of one share of Common Stock and one Warrant to Purchase one share of Common Stock This is a firm commitment public offering of 3,180,000 units, each unit consisting of one share of our common stock and one warrant, for a total of 3,180,000 shares of our common stock and 3 |
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| April 28, 2021 |
Filed Pursuant to Rule 424(b)(4) Registration No. 333-253006 and 333-255525 PROSPECTUS 3,180,000 Units Each unit of consisting of one share of Common Stock and one Warrant to Purchase one share of Common Stock This is a firm commitment public offering of 3,180,000 units, each unit consisting of one share of our common stock and one warrant, for a total of 3,180,000 shares of our common stock and 3 |
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| April 26, 2021 |
8-A12B 1 form8-a12b.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 PROTAGENIC THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware 06-1390025 (State or other jurisdiction of incorporation or organization) (I.R. |
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| April 26, 2021 |
S-1MEF 1 forms-1mef.htm As filed with the Securities and Exchange Commission on April 26, 2021 Registration No. 333-253006 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Protagenic Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 7389 06-1390025 (State or other jurisdiction o |
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| April 26, 2021 |
Form of Warrant (included in Exhibit 10.15) Exhibit 10.15 FORM OF WARRANT AGENT AGREEMENT THIS WARRANT AGENT AGREEMENT (this ?Agreement?) is dated April [ ], 2021, between PROTAGENIC THERAPEUTICS, INC., a Delaware corporation (the ?Company?), and AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC, acting as warrant agent (the ?Warrant Agent?). WHEREAS, the Company proposes to issue common stock purchase warrants (the ?Warrants?) to acquire one sh |
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| April 26, 2021 |
As filed with the U.S. Securities and Exchange Commission on April 26, 2021 Registration No. 333-253006 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT No. 5 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Protagenic Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 7389 06-1390025 (State or other jurisdiction o |
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| April 26, 2021 |
As filed with the U.S. Securities and Exchange Commission on April 23, 2021 Registration No. 333-253006 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 4 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Protagenic Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 7389 06-1390025 (State or other jurisdiction o |
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| April 23, 2021 |
As filed with the U.S. Securities and Exchange Commission on April 23, 2021 Registration No. 333-253006 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 3 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Protagenic Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 7389 06-1390025 (State or other jurisdiction o |
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| April 23, 2021 |
Form of Warrant (included in Exhibit 10.15) Exhibit 10.15 FORM OF WARRANT AGENT AGREEMENT THIS WARRANT AGENT AGREEMENT (this ?Agreement?) is dated April [ ], 2021, between PROTAGENIC THERAPEUTICS, INC., a Delaware corporation (the ?Company?), and AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC, acting as warrant agent (the ?Warrant Agent?). WHEREAS, the Company proposes to issue common stock purchase warrants (the ?Warrants?) to acquire one sh |
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| April 23, 2021 |
KINGSWOOD CAPITAL MARKETS Division of Benchmark Investments, Inc. 17 Battery Place, Suite 625 New York, New York 10004 April 23, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 Attention: Nick Lamparski, Esq. Re: Protagenic Therapeutics, Inc. Registration Statement on Form S-l File No. 333-253006 Ladies and Gen |
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| April 23, 2021 |
PROTAGENIC THERAPEUTICS, INC. 149 Fifth Avenue New York, NY 10010 April 23, 2021 PROTAGENIC THERAPEUTICS, INC. 149 Fifth Avenue New York, NY 10010 April 23, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Nick Lamparski, Esq. Re: Protagenic Therapeutics, Inc. Registration Statement on Form S-l File No. 333-253006 Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securitie |
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| April 22, 2021 |
CORRESP 1 filename1.htm KINGSWOOD CAPITAL MARKETS Division of Benchmark Investments, Inc. 17 Battery Place, Suite 625 New York, New York 10004 April 22, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 Attention: Nick Lamparski, Esq. Re: Withdrawal of Request for Acceleration of Effective Date Protagenic Therape |
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| April 22, 2021 |
PROTAGENIC THERAPEUTICS, INC. 149 Fifth Avenue New York, New York 10010 PROTAGENIC THERAPEUTICS, INC. 149 Fifth Avenue New York, New York 10010 April 22, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Re: Protagenic Therapeutics, Inc. Withdrawal of Request for Acceleration of Effectiveness of Registration Statement Registration Statement on Form S-1 (SEC File No. 333-253006) Ladie |
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| April 21, 2021 |
KINGSWOOD CAPITAL MARKETS Division of Benchmark Investments, Inc. 17 Battery Place, Suite 625 New York, New York 10004 April 21, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 Attention: Nick Lamparski, Esq. Re: Protagenic Therapeutics, Inc. Registration Statement on Form S-l File No. 333-253006 Ladies and Gen |
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| April 21, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): April 21, 2021 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Commissi |
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| April 21, 2021 |
Exhibit 99.1 |
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| April 21, 2021 |
PROTAGENIC THERAPEUTICS, INC. 149 Fifth Avenue New York, NY 10010 April 21, 2021 PROTAGENIC THERAPEUTICS, INC. 149 Fifth Avenue New York, NY 10010 April 21, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Nick Lamparski, Esq. Re: Protagenic Therapeutics, Inc. Registration Statement on Form S-l File No. 333-253006 Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securitie |
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| April 9, 2021 |
As filed with the U.S. Securities and Exchange Commission on April 9, 2021 Registration No. 333-253006 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 2 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Protagenic Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 7389 06-1390025 (State or other jurisdiction of |
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| April 9, 2021 |
Form of Underwriting Agreement Exhibit 1.1 UNDERWRITING AGREEMENT between PROTAGENIC THERAPEUTICS, INC. and KINGSWOOD CAPITAL MARKETS, division of Benchmark Investments, Inc., as Representative of the Several Underwriters PROTAGENIC THERAPEUTICS, INC. UNDERWRITING AGREEMENT New York, New York [], 2021 Kingswood Capital Markets, division of Benchmark Investments, Inc. as Representative of the several Underwriters named on Schedu |
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| April 9, 2021 |
Form of Warrant (included in Exhibit 10.15) Exhibit 10.15 FORM OF WARRANT AGENT AGREEMENT THIS WARRANT AGENT AGREEMENT (this ?Agreement?) is dated April [ ], 2021, between PROTAGENIC THERAPEUTICS, INC., a Delaware corporation (the ?Company?), and AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC, acting as warrant agent (the ?Warrant Agent?). WHEREAS, the Company proposes to issue common stock purchase warrants (the ?Warrants?) to acquire up to |
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| April 9, 2021 |
Exhibit 99.5 Charter of the Clinical and Regulatory Committee of the Board of Directors of Protagenic Therapeutics, Inc. (the ?Company?) Purpose The purpose of the Clinical and Regulatory Committee (the ?Committee?) shall be to provide advice, understanding and guidance both to management of the Company and to the Board of Directors on matters involving (i) the Company?s clinical testing plans and |
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| April 8, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): April 7, 2021 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Commissio |
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| April 8, 2021 |
Corporate Presentation (April 2021) EX-99.1 2 ex99-1.htm Exhibit 99.1 |
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| April 7, 2021 |
As filed with the U.S. Securities and Exchange Commission on April 7, 2021 Registration No. 333-253006 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Protagenic Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 7389 06-1390025 (State or other jurisdiction of |
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| March 25, 2021 |
10-K 1 form10-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K [X] ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For fiscal year ended: December 31, 2020 OR [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-51353 Protagenic Thera |
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| March 25, 2021 |
EX-10.4 3 ex10-4.htm Exhibit 10.4 |
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| March 25, 2021 |
Exhibit 10.2 |
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| March 25, 2021 |
Exhibit 21.1 SUBSIDIARIES OF PROTAGENIC THERAPEUTICS, INC. Subsidiary Jurisdiction of Organization/Incorporation Protagenic Therapuetics Canada (2006) Inc. Canada |
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| March 25, 2021 |
Exhibit 99.1 Charter of the Audit Committee of the Board of Directors of Protagenic Therapeutics, Inc. Purpose The principal purpose of the Audit and Finance Committee (the ?Committee?) is to assist the Board of Directors (the ?Board?) of Protagenic Therapeutics, Inc. (the ?Company?) in fulfilling its responsibility to oversee the Company?s accounting and financial reporting processes and audits o |
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| March 25, 2021 |
Exhibit 99.3 Charter of the Corporate Governance and Nominating Committee of the Board of Directors of Protagenic Therapeutics, Inc. (the ?Company?) Function The Corporate Governance and Nominating Committee (the ?Committee?) shall, among other things, review and recommend policies to the Board of Directors of the Company (the ?Board?) regarding Board procedures, Board leadership, the process for |
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| March 25, 2021 |
EX-99.2 10 ex99-2.htm Exhibit 99.2 Charter of the Compensation Committee of the Board of Directors of Protagenic Therapeutics, Inc. (the “Company”) Purpose The principal purpose of the Compensation Committee (the “Committee”) of the Board of Directors (the “Board”) is to approve, administer and interpret the Company’s executive and key employee compensation and benefit policies, including the Comp |
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| March 11, 2021 |
S-8 1 forms-8.htm As filed with the Securities and Exchange Commission on March 10, 2021 Registration No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 PROTAGENIC THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware 06-1390025 (State or other jurisdiction of Incorporation or org |
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| February 11, 2021 |
S-1 1 forms-1.htm As filed with the U.S. Securities and Exchange Commission on February 11, 2021 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Protagenic Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 7389 06-1390025 (State or other jurisdiction of in |
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| February 10, 2021 |
SC 13G/A 1 ptix13ga.htm PTIX 13GA SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* Protagenic Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 74365N103 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the app |
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| November 16, 2020 |
10-Q 1 form10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [X] Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2020 or [ ] Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File |
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| October 7, 2020 |
Submission of Matters to a Vote of Security Holders - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): October 6, 2020 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Commiss |
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| September 3, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): August 28, 2020 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Commiss |
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| August 28, 2020 |
DEF 14A 1 formdef-14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, For Use of the Commission Only (as permitted by Rule 14a |
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| August 14, 2020 |
10-Q 1 form10q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [X] Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2020 or [ ] Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Numbe |
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| July 21, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): July 18, 2020 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Commissio |
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| July 9, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): July 8, 2020 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Commission |
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| June 18, 2020 |
10-Q 1 form10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [X] Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2020 or [ ] Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Num |
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| May 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): May 14, 2020 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Commission |
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| May 8, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): May 8, 2020 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Commission |
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| April 29, 2020 |
10-K 1 form10-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K [X] ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For fiscal year ended: December 31, 2019 OR [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-51353 Protagenic Thera |
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| April 29, 2020 |
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934* Exhibit 4.6 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following summary describes the common stock, $0.0001 par value per share, of Protagenic Therapeutics, Inc. (the “Company”, “our”, “us”, or “we”), which are the only securities of the Company registered under Section 12 of the Securities Exchange Act of 1934, as amend |
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| April 29, 2020 |
Exhibit 99.1 Charter of the Science Committee of the Board of Directors of Protagenic Therapeutics, Inc. (the “Company”) Purpose The purpose of the Science Committee (the “Committee”) shall be to provide advice, understanding and guidance both to management of the Company and to the Board of Directors on matters involving (i) the Company’s development programs and projects, (ii) acquisitions of ne |
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| March 31, 2020 |
Financial Statements and Exhibits 8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): March 30, 2020 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorp |
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| March 31, 2020 |
Exhibit 99.1 |
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| March 11, 2020 |
As filed with the Securities and Exchange Commission on March 11, 2020 Registration No. |
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| March 3, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): March 2, 2020 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Commissio |
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| February 28, 2020 |
PTIX / Protagenic Therapeutics, Inc. / ARMEN GARO H Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 2)* PROTAGENIC THERAPEUTICS, INC. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Sec |
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| January 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): January 27, 2020 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Commis |
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| January 22, 2020 |
ATRN / Atrinsic, Inc. CORRESP - - 149 Fifth Ave, Suite 500 New York, NY 10010 January 22, 2020 VIA EDGAR TRANSMISSION Anthony Watson Division of Corporation Finance Office of Trade & Services U. |
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| December 23, 2019 |
8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): December 20, 2019 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of inc |
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| December 23, 2019 |
ATRN / Atrinsic, Inc. CORRESP - - 149 Fifth Ave, Suite 500 New York, NY 10010 December 23, 2019 VIA EDGAR TRANSMISSION Anthony Watson Division of Corporation Finance Office of Trade & Services U. |
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| December 4, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): December 3, 2019 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Commis |
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| November 25, 2019 |
ATRN / Atrinsic, Inc. CORRESP - - 149 Fifth Ave, Suite 500 New York, NY 10010 November 25, 2019 VIA EDGAR TRANSMISSION Anthony Watson Division of Corporation Finance Office of Trade & Services U. |
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| November 21, 2019 |
CONVERTIBLE NOTE PURCHASE AGREEMENT This Convertible Note Purchase Agreement (the “Agreement”) is made as of , 2019 by and among Protagenic Therapeutics, Inc. |
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| November 21, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): November 5, 2019 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Commis |
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| November 21, 2019 |
THE SECURITIES REPRESENTED HEREBY HAVE NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND, ACCORDINGLY, MAY NOT BE TRANSFERRED UNLESS (I) SUCH SECURITIES HAVE BEEN REGISTERED FOR SALE PURSUANT TO THE SECURITIES ACT OF 1933, AS AMENDED, (II) SUCH SECURITIES MAY BE SOLD PURSUANT TO RULE 144, OR (III) THE COMPANY HAS RECEIVED AN OPINION OF COUNSEL REASONABLY SATISFACTORY TO IT THAT SUCH TRANSFER MAY LAWFULLY BE MADE WITHOUT REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED. |
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| November 21, 2019 |
Form of Guaranty THIS GUARANTY (“Guaranty”) is made as of this [] day of [], 2019, by Protagenic Therapeutics Canada (2006) Inc. |
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| November 14, 2019 |
ATRN / Atrinsic, Inc. 10-Q - Quarterly Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [X] Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2019 or [ ] Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 000-51353 P |
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| September 24, 2019 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): September 23, 2019 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Comm |
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| August 26, 2019 |
ATRN / Atrinsic, Inc. DEFA14A - - DEFA14A 1 formdefa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, For Use of the Commission Only (as perm |
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| August 14, 2019 |
ATRN / Atrinsic, Inc. 10-Q - Quarterly Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [X] Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2019 or [ ] Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 000-51353 PROTAG |
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| August 12, 2019 |
ATRN / Atrinsic, Inc. DEF 14A - - DEF 14A 1 def14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, For Use of the Commission Only (as permitted |
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| July 3, 2019 |
As filed with the Securities and Exchange Commission on July 3, 2019 Registration No. |
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| July 3, 2019 |
ATRN / Atrinsic, Inc. 10-K/A - Annual Report - 10-K/A 1 form10-ka.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A Amendment No. 1 [X] ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For fiscal year ended: December 31, 2018 OR [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-5 |
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| June 14, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): June 14, 2019 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Commissio |
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| May 16, 2019 |
ATRN / Atrinsic, Inc. 10-Q/A Quarterly Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A Amendment No. 1 (Mark One) [X] Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2019 or [ ] Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Numbe |
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| May 15, 2019 |
ATRN / Atrinsic, Inc. 10-Q Quarterly Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [X] Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2019 or [ ] Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 000-51353 PROTA |
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| March 29, 2019 |
Charter of the Science Committee of the Board of Directors of the Company. Charter of the Science Committee of the Board of Directors of Protagenic Therapeutics, Inc. |
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| March 29, 2019 |
ATRN / Atrinsic, Inc. (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K [X] ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For fiscal year ended: December 31, 2018 OR [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-51353 Protagenic Therapeutics, Inc. (Exact |
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| February 19, 2019 |
Slide deck used to describe the Company to interested parties. |
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| February 19, 2019 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): February 18, 2019 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Commi |
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| February 5, 2019 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* Protagenic Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 74365N103 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| November 8, 2018 |
ATRN / Atrinsic, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [X] Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2018 or [ ] Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 000-51353 P |
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| August 14, 2018 |
ATRN / Atrinsic, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [X] Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2018 or [ ] Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 000-51353 PROTAG |
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| July 25, 2018 |
Submission of Matters to a Vote of Security Holders 8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): July 23, 2018 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorpo |
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| July 2, 2018 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 form8-k.htm United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): June 29, 2018 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorpo |
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| July 2, 2018 | ||
| June 13, 2018 |
DEFA14A 1 defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, For Use of the Commission Only (as permitte |
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| June 13, 2018 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): June 13, 2018 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) (Commissio |
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| June 13, 2018 |
The Face of an Epidemic Source: Publicly Available Government Records Deaths from prescription Opiates and Heroin is the fastest-growing major cause of death in the U. |
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| June 13, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| June 11, 2018 |
Other Events, Financial Statements and Exhibits 8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 11, 2018 Protagenic Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 000-51353 06-1390025 (State or other Jurisdiction of Inco |
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| June 11, 2018 |
Three High Profile Publications Support the Potential of Protagenic Therapeutics’s Synthetic TCAP to Treat Stress-Related Psychological Disorders Ancient, central role of brain peptide TCAP in maintenance of brain health elucidated in publications in Cell, Nature Communications, and the Journal of Neuro-endocrinology June 11, 2018 — NEW YORK — Protagenic Therapeutics, Inc. |
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| June 1, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): May 31, 2018 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction (Commission (I.R.S. Employer |
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| June 1, 2018 |
SECOND AMENDED AND RESTATED BYLAWS OF PROTAGENIC THERAPEUTICS, INC. (the “Corporation”) ARTICLE I Stockholders SECTION 1. (a) Annual Meeting. The annual meeting of stockholders (any such meeting being referred to in these Bylaws as an “Annual Meeting”) shall be held at the hour, date and place, if any, within or without the United States which is fixed by the Board of Directors of the Corporation |
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| May 15, 2018 |
ATRN / Atrinsic, Inc. 10-Q (Quarterly Report) 10-Q 1 form10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [X] Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2018 or [ ] Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Num |
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| April 5, 2018 |
ATRN / Atrinsic, Inc. 10-K/A (Annual Report) 10-K/A 1 form10-ka.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A Amendment No. 1 [X] ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For fiscal year ended: December 31, 2017 OR [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: Prota |
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| April 2, 2018 |
ATRN / Atrinsic, Inc. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K [X] ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For fiscal year ended: December 31, 2017 OR [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: Protagenic Therapeutics, Inc. (Exact name of r |
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| February 23, 2018 |
atrn201802238k.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): February 20, 2018 PROTAGENIC THERAPEUTICS, INC. (Exact name of Company as specified in its charter) Delaware 000-51353 06-1390025 (State or other jurisdiction of incorporation) ( |
