Welcome to our dedicated page for Protagenic Therapeutics SEC filings (Ticker: PTIX), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Protagenic Therapeutics, Inc. (PTIX) SEC filings page on Stock Titan provides access to the company’s official regulatory disclosures as filed with the U.S. Securities and Exchange Commission. These documents offer detailed information on Protagenic’s biopharmaceutical business focused on neuro-active peptide and CNS therapeutics, its clinical programs, capital structure, and Nasdaq listing status.
Through this page, readers can review current reports on Form 8-K in which Protagenic describes material events such as Nasdaq notifications of non-compliance with Listing Rules 5550(b)(1) and 5250(c)(1), board changes, legal actions related to the Phytanix share exchange agreement, and other significant corporate developments. These filings explain the company’s response to a determination to delist its securities, its intention to request a hearing before a Nasdaq Hearings Panel, and the potential impact on continued trading of PTIX on the Nasdaq Capital Market.
The filings page also includes notifications of late filing on Form 12b-25 (NT 10-Q), where Protagenic outlines reasons for delays in submitting quarterly reports and indicates its expectation to file within the permitted extension period. Together with transition reports, proxy-related disclosures, and amendments to prior 8-Ks, these documents form a regulatory record of the company’s reporting practices and transactional history, including the acquisition of Phytanix Bio Inc.
Stock Titan enhances these SEC filings with AI-powered summaries that highlight key points, such as listing compliance issues, legal proceedings, and financing actions, helping readers quickly understand the significance of lengthy or technical documents. Users can also track filings related to common stock and warrants, and monitor how Protagenic’s regulatory communications reflect the status of its CNS-focused pipeline and capital markets activities over time.
Protagenic Therapeutics, Inc. has appointed William (Bill) Nichols, Jr., age 51, as President effective February 3, 2026. He brings senior commercial leadership experience from bluebird bio, Dova Pharmaceuticals (now Sobi), and Bristol-Myers Squibb, all in the biotechnology and biopharmaceutical space.
Under his employment agreement, Mr. Nichols will receive a base salary of $350,000 and is eligible for an annual target bonus equal to 40% of his base salary. The agreement also provides for a stock option grant equal to approximately 1.0% of the company’s fully diluted share count. The company states there are no special arrangements or family relationships related to his selection and no related-party transactions requiring disclosure.
Protagenic Therapeutics, Inc. entered a Settlement Agreement and an Unwind, Termination and Share Exchange Agreement on February 17, 2026 to fully unwind its prior acquisition of Phytanix Bio. The earlier Share Exchange Agreement is terminated and related Delaware litigation will be dismissed with prejudice.
Former Phytanix stockholders returned all Protagenic common and preferred shares issued in the original deal, and Protagenic transferred back 100% of Phytanix Bio’s shares, giving the former owners full control again. Protagenic will pay $300,000 at closing plus $10,000 after receiving specified financial information, and the parties exchanged mutual releases and indemnification protections.
Protagenic Therapeutics, Inc. filed a Form 12b-25 notifying the SEC it cannot timely file its Quarterly Report on Form 10-Q for the period ended December 31, 2025. The company states it does not expect to file within the five-calendar-day extension under Rule 12b-25. The notice is signed by Alexander K. Arrow, Chief Financial Officer, on February 18, 2026.
Protagenic Therapeutics, Inc. is having its common stock and warrants removed from listing and registration on the Nasdaq Stock Market LLC. Nasdaq filed a Form 25 under Section 12(b) of the Securities Exchange Act of 1934, certifying that it has followed its own rules and the SEC’s requirements to strike these securities from listing and withdraw their registration on the exchange. The filing lists Protagenic’s principal executive offices in New York and identifies the affected securities as its common stock and warrants.
Protagenic Therapeutics, Inc. reported that Nasdaq has notified the company it is not in compliance with two continued listing requirements and that the Nasdaq staff has determined to delist its securities from The Nasdaq Capital Market. The notice cites stockholders’ equity below the $2,500,000 minimum under Listing Rule 5550(b)(1) and the delayed filing of the Quarterly Report on Form 10-Q for the quarter ended September 30, 2025 under Listing Rule 5250(c)(1).
The company plans to request a hearing before a Nasdaq Hearings Panel and seek a stay of any suspension. A timely hearing request automatically stays suspension for 15 calendar days, and during this automatic stay, and any extended stay if granted, PTIX common stock is expected to continue trading on The Nasdaq Capital Market. The company cautions there is no assurance it will obtain an extended stay or regain compliance.
Protagenic Therapeutics (PTIX) filed a Form 12b-25, notifying a late filing of its Form 10-Q for the period ended September 30, 2025. The company states the report could not be completed without unreasonable effort or expense and expects to file within the five-day extension permitted by Rule 12b-25.
The notice is signed by CFO Alexander K. Arrow, MD, and lists a company contact for inquiries.
Protagenic Therapeutics (PTIX) reported a board change: director Jennifer Chao resigned, effective November 3, 2025. The company stated there were no disagreements between Ms. Chao and the company. This is a routine governance update disclosed under a change in directors or certain officers.
Protagenic Therapeutics (PTIX) filed a Verified Complaint in the Delaware Court of Chancery on October 28, 2025. The filing seeks rescission of the Share Exchange Agreement dated May 15, 2025 under which PTIX acquired Phytanix Bio, Inc., or, alternatively, damages and an order compelling delivery of audited financial statements required by that agreement.
The publicly filed version of the complaint is included as Exhibit 99.1. This action centers on the terms and deliverables tied to the Phytanix transaction.
Protagenic Therapeutics (PTIX) launched an at‑the‑market offering of up to $1,750,000 in common stock under its existing sales agreement with B. Riley Securities. Shares may be sold from time to time on Nasdaq as defined by Rule 415, with the Sales Agent acting as agent or principal and earning a 3.0% commission on gross proceeds. There is no escrow arrangement.
The company indicates public float of approximately $7,911,378 based on 1,927,898 non‑affiliate shares at $4.51 as of August 25, 2025, and notes it has sold $850,715 of securities in the prior 12 months under S‑3 Instruction I.B.6, which caps sales at one‑third of public float while it remains below $75 million. Net proceeds are intended primarily to acquire potential royalty and milestone revenue streams, and for working capital and general corporate purposes.
For illustration, if 585,284 shares were sold at $2.99, the company estimates immediate dilution of $3.915 per share to new investors.
Protagenic Therapeutics (PTIX): Barrett Evans filed a Form 3 initial statement of beneficial ownership effective 05/15/2025. He is identified as a Director, 10% Owner, and ex CEO.
- Common Stock: 16,233 shares, indirect via EMC2 Capital LLC.
- Preferred Series C: 787 shares, indirect via EMC2 Capital LLC.
- Preferred Series C‑1: 131,034 shares, indirect via EMC2 Capital LLC.
- Preferred Series D: 1,000 shares direct; 4,498 shares indirect via EMC2 Capital LLC; 1,000 shares indirect via Mammoth Crest Capital LLC.
The filing notes Mr. Evans was the CEO and is a Director of PTIX.