Form D · Biotechnology

Protagenic Therapeutics, Inc.\new

New York, NY · CIK 0001022899

Offering snapshot reported Dec 23, 2019 · SEC filing

Reported sold
$670K
Offering amount: $2.5M
Investors reported
14
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Nov 5, 2019
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$335K$670KOct 29, 2019Dec 5, 2019: $555,000.00Dec 5, 2019Dec 23, 2019: $670,000.00Dec 23, 2019

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported sold$555,000 → $670,000
  • Reported investors10 → 14

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Dec 23, 2019Amendment$670,000$115,000vs Dec 5, 201914SEC filing
Dec 5, 2019Amendment$555,000No comparison10SEC filing
Oct 29, 2019InitialYet to sellNo comparison0SEC filing
Apr 22, 2016Amendment$4,610,250$1,141,500vs Feb 23, 201637SEC filing
Apr 22, 2016Amendment$5,135,575$1,666,825vs Feb 23, 201649SEC filing
Feb 23, 2016Initial$3,468,750No comparison22SEC filing
Jun 15, 2011Initial$5,285,000No comparison8SEC filing

Offering details

Securities
Debt, Security to be acquired
Exemptions
06b
Duration over one year
No
Business combination
No
Sales commissions
$32K
Finders' fees
$0
Form D file number
021-352091
Includes $500,000 principal amount of convertible notes which may be sold in the event the offering is over-subscribed.
Placement Agent is entitled to receive 10% cash fees for all equity raised by the Placement Agent during the offering (a retroactive increase from an 8% cash fee). Does not include warrants issuable to Placement Agent.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Katalyst Securities LLC112494

Source: Form D, filed Dec 23, 2019. Minimum accepted may differ from a standard advertised minimum.

Fund connections

No confirmed ADV fund connection is available for this issuer.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
NameReported role
Garo H Armen Director, Executive
Alexander K Arrow Executive
Khalil Barrage Director
Lawrence Burstein Director
Jerome Chazen Director
Brian J Corvese Director
Mark Dyne Director
Gregory H. Ekizian Director
Stuart Goldfarb Director, Executive
Raymond Musci Director, Executive
Thomas Plotts Executive
Joshua Silverman Director
Robert B Stein Director
Robert Ziroyan Executive

Issuer details

Industry: Biotechnology (See others in industry)

Address:
149 Fifth Avenue, Suite 500
New York, NY, 10010