PTIX Form 3: Barrett Evans reports 16,233 common, 1,000 Series D

Protagenic Therapeutics (PTIX): Barrett Evans filed a Form 3 initial statement of beneficial ownership effective 05/15/2025.

Accepted by SEC EDGAR 10/24/2025 - 01:40 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

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.

Insider Trade Summary

Holdings reported, no transactions

Holdings

Insider EVANS BARRETT, EMC2 Capital LLC, Mammoth Crest Capital LLC

Role ex CEO | ex CEO | ex CEO

Type	Security	Shares	Price	Value
Holding	Common Stock	--	--	--
Holding	Preferred Stock Series C	--	--	--
Holding	Preferred Stock Series C-1	--	--	--
Holding	Preferred Stock Series D	--	--	--
Holding	Preferred Stock Series D	--	--	--
Holding	Preferred Stock Series D	--	--	--

Holdings: Common Stock — 16,233 shares (Indirect, These shares are owned by EMC2 Capital LLC. Mr. Evans is a managing member.); Preferred Stock Series C — 787 shares (Indirect, These shares are owned by EMC2 Capital LLC. Mr. Evans is a managing member.); Preferred Stock Series C-1 — 131,034 shares (Indirect, These shares are owned by EMC2 Capital LLC. Mr. Evans is a managing member.); Preferred Stock Series D — 1,000 shares (Direct); Preferred Stock Series D — 4,498 shares (Indirect, These shares are owned by EMC2 Capital LLC. Mr. Evans is a managing member.); Preferred Stock Series D — 1,000 shares (Indirect, These shares are owned by Mammoth Crest Capital LLC. Mr. Evans is a managing member.)

Footnotes (1)

1. F1. Mr. Evans was the CEO and is a Director of PTIX

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did PTIX disclose in this Form 3 filing?

An initial statement of beneficial ownership by Barrett Evans effective 05/15/2025, listing his PTIX equity holdings.

What is Barrett Evans’s relationship to PTIX (PTIX)?

He is listed as a Director, 10% Owner, and ex CEO.

How many PTIX common shares were reported?

Evans reported 16,233 PTIX common shares, held indirectly via EMC2 Capital LLC.

What preferred shares were reported for PTIX?

Preferred holdings include 787 Series C and 131,034 Series C‑1 (both indirect via EMC2), plus Series D: 1,000 direct, 4,498 indirect via EMC2, and 1,000 indirect via Mammoth Crest Capital LLC.

Are any PTIX holdings reported as direct ownership?

Yes. 1,000 shares of Preferred Series D are reported as direct ownership.

Which entities hold PTIX shares on behalf of Barrett Evans?

Indirect holdings are through EMC2 Capital LLC and Mammoth Crest Capital LLC.

What is the event date for this PTIX Form 3?

The event date is 05/15/2025.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Understanding Insider Trading Forms →

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

EVANS BARRETT

(Last) (First) (Middle)

701 ANACAPA STREET

SUITE C

(Street)

SANTA BARBARA CA 93101

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
05/15/2025

3. Issuer Name and Ticker or Trading Symbol
Protagenic Therapeutics, Inc.\new [ PTIX ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	X	10% Owner
X	Officer (give title below)		Other (specify below)
	ex CEO

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

	Form filed by One Reporting Person
X	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	16,233	I	These shares are owned by EMC2 Capital LLC. Mr. Evans is a managing member.(1)
Preferred Stock Series C	787	I	These shares are owned by EMC2 Capital LLC. Mr. Evans is a managing member.(1)
Preferred Stock Series C-1	131,034	I	These shares are owned by EMC2 Capital LLC. Mr. Evans is a managing member.(1)
Preferred Stock Series D	1,000	D(1)
Preferred Stock Series D	4,498	I	These shares are owned by EMC2 Capital LLC. Mr. Evans is a managing member.(1)
Preferred Stock Series D	1,000	I	These shares are owned by Mammoth Crest Capital LLC. Mr. Evans is a managing member.(1)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

1. Name and Address of Reporting Person^*

EVANS BARRETT

(Last) (First) (Middle)

701 ANACAPA STREET

SUITE C

(Street)

SANTA BARBARA CA 93101

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer

X	Director	X	10% Owner
X	Officer (give title below)		Other (specify below)
	ex CEO

1. Name and Address of Reporting Person^*

EMC2 Capital LLC

(Last) (First) (Middle)

701 ANACAPA STREET

SUITE C

(Street)

SANTA BARBARA CA 93101

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer

X	Director	X	10% Owner
X	Officer (give title below)		Other (specify below)
	ex CEO

1. Name and Address of Reporting Person^*

Mammoth Crest Capital LLC

(Last) (First) (Middle)

701 ANACAPA STREET

SUITE C

(Street)

SANTA BARBARA CA 93101

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer

X	Director	X	10% Owner
X	Officer (give title below)		Other (specify below)
	ex CEO

Explanation of Responses:

1. Mr. Evans was the CEO and is a Director of PTIX

	Barrett Evans	10/23/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.