SEC Form 4 · accession 0001437749-16-031405
Protagenic Therapeutics, Inc.\new · PTIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alexander K. Arrow
Officer — Chief Financial Officer
Period of report
Apr 15, 2016
Accepted (ET)
May 10, 2016 · 3:25 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001022899
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Preferred StockF1,F2 | $1.25 | Apr 15, 2016 | P | 40,000 | A | — | — | Common Stock | 40,000 | 100,000 | D |
| Series B Preferred StockF1,F2 | $1.25 | Apr 15, 2016 | P | 18,260 | A | — | — | Common Stock | 18,260 | 118,260 | I |
Explanation of responses
- F1It is anticipated that Series B Preferred stock will be exchanged for Common Stock on a 1-for-1 basis following the June 17, 2016 Special Shareholder meeting.
- F2Series B Preferred stock does not have an expiration date, but it is anticipated that it will be exchanged for Common Stock on a 1-for-1 basis following the June 17, 2016 Special Shareholder meeting.