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Protagenic Therapeutics, Inc./New – ‘8-K’ for 3/19/24

On: Thursday, 3/21/24, at 8:50am ET · For: 3/19/24 · Accession #: 1493152-24-10741 · File #: 1-12555

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/21/24  Protagenic Therapeutics, Inc./New 8-K:7,8,9   3/19/24   12:268K                                   M2 Compliance LLC/FA

Current Report — Form 8-K

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     48K 
 2: EX-99.1     Miscellaneous Exhibit                               HTML     11K 
 7: R1          Cover                                               HTML     48K 
 9: XML         IDEA XML File -- Filing Summary                      XML     13K 
12: XML         XBRL Instance -- form8-k_htm                         XML     21K 
 8: EXCEL       IDEA Workbook of Financial Report Info              XLSX      8K 
 4: EX-101.DEF  XBRL Definitions -- ptix-20240319_def                XML     73K 
 5: EX-101.LAB  XBRL Labels -- ptix-20240319_lab                     XML    103K 
 6: EX-101.PRE  XBRL Presentations -- ptix-20240319_pre              XML     70K 
 3: EX-101.SCH  XBRL Schema -- ptix-20240319                         XSD     14K 
10: JSON        XBRL Instance as JSON Data -- MetaLinks               27±    36K 
11: ZIP         XBRL Zipped Folder -- 0001493152-24-010741-xbrl      Zip     22K

‘8-K’ — Current Report

This is an HTML Document rendered as filed. [ Alternative Formats ]

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM i 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): i March 19, 2024

PROTAGENIC THERAPEUTICS, INC.

(Exact name of Company as specified in its charter)

i Delaware

i 001-12555

i 06-1390025

(State or other jurisdiction
of incorporation)

(Commission

File Number)

(I.R.S. Employer

Identification No.)

i 149 Fifth Avenue, i Suite 500, i New York, i NY		i 10010
(Address of principal executive offices)		(Zip Code)

i 212- i 994-8200

(Company’s telephone number, including area code)

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the Company under any of the following provisions:

i ☐	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

i ☐	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

i ☐	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

i ☐	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class	Trading Symbol(s)	Name of each exchange on which registered

i Protagenic Therapeutics, Inc. Common Stock	i PTIX	i Nasdaq
i Protagenic Therapeutics, Inc. Common Stock Warrants	i PTIXW	i Nasdaq

Item 7.01 Regulation FD Disclosure.

On March 21, 2024, the Company issued a press release announcing resolution of the Company’s outstanding Nasdaq deficiency notice. A copy of the press release is furnished with this report as Exhibit 99.1.

In accordance with General Instruction B.2 of Form 8-K, the information in this Item 7.01 and Exhibit 99.1 of this Current Report on Form 8-K are being furnished and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that Section. Furthermore, such information, including Exhibit 99.1 attached hereto, shall not be deemed to be incorporated by reference in any filing under the Securities Act of 1933, as amended, except as expressly stated by specific reference in such a filing.

Item 8.01 Other Events.

On March 19, 2024, the Company received written notice from the Nasdaq Listing Qualifications Department (the “Staff”) that the Company has regained compliance with Nasdaq Listing Rule 5550(a)(2) (the “Minimum Bid Price Requirement”) by maintaining a minimum closing bid price of the Company’s common stock of at least $1.00 per share for the last ten consecutive trading days, from March 5, 2024 to March 18, 2024, and that this matter is now closed. As previously reported, on November 21, 2023, Nasdaq notified the Company that, the closing bid price for the Company’s common stock had been below the minimum $1.00 per share requirement for 30-consecutive business in violation of the Minimum Bid Price Requirement.

Item 9.01. Financial Statements and Exhibits.

Exhibit No.		Description

99.1		Press release - “*Protagenic Therapeutics Announces Resolution of Nasdaq Deficiency Notice”*

104		Cover Page Interactive Data File (embedded within the Inline XBRL document)

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

	PROTAGENIC THERAPEUTICS, INC.

Date: March 21, 2024	By:	/s/ Alexander K. Arrow
	Name:	Alexander K. Arrow
	Title:	Chief Financial Officer

Dates Referenced Herein and Documents Incorporated by Reference

This ‘8-K’ Filing	Date	Other Filings

Filed on:	3/21/24
For Period end:	3/19/24
	3/18/24
	3/5/24
	11/21/23	8-K
		List all Filings

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Filing Submission 0001493152-24-010741 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)