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Protagenic Therapeutics : 4 - Statement of changes in beneficial ownership of securities

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10/19/2017 | 01:56am CEST

SEC Form 4

FORM 4

Check this box if no longer subject to Section 16.

Form 4 or

Form 5 obligations may continue. See Instruction 1(b).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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-

0287

Estimated average burden hours per

response: 0.5

1. Name and Address of Reporting Person*

2. Issuer Name and Ticker or Trading Symbol

5. Relationship of Reporting Person(s) to Issuer

(Check all applicable)

X Director 10% Owner Officer Other

(give title (specify

below) below)

Corvese Brian

Protagenic Therapeutics, Inc.new [

PTIX ]

(Last) (First) (Middle)

3. Date of Earliest Transaction (Month/Day/Year) 10/16/2017

149 FIFTH AVENUE, SUITE 500

(Street)

NEW YORK NY 10010

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

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

X Form filed by One Reporting Person

Form filed by More than One Reporting Person

(City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1. Title of Security (Instr. 3)

2. Transaction Date (Month/Day/Year)

2A. Deemed Execution Date, if any (Month/Day/Year)

3. Transaction Code (Instr. 8)

4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)

5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)

6.

Ownership Form: Direct (D) or Indirect

(I) (Instr. 4)

Code

V

Amount

(A) or (D)

Price

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of

2.

3. Transaction

3A. Deemed

4.

5. Number

6. Date Exercisable and

7. Title and Amount of

8. Price

9. Num

Derivative

Conversion

Date

Execution Date,

Transaction

of Derivative

Expiration Date

Securities Underlying

of

derivat

Security

or

(Month/Day/Year)

if any

Code

Securities

(Month/Day/Year)

Derivative Security

Derivative

Securi

(Instr. 3)

Exercise

(Month/Day/Year)

(Instr. 8)

Acquired (A)

(Instr. 3 and 4)

Security

Benefi

Price of

or Disposed

(Instr. 5)

Owned

Derivative

of (D) (Instr.

Follow

Security

3, 4 and 5)

Report

Transa

Code

V

(A)

(D)

Date Exercisable

Expiration Date

Title

Amount or Number of Shares

(Instr.

t

Non- Qualified Stock

Protagenic Therapeutics,

Options

$1.75 10/16/2017 A 95,000 (1) 10/16/2027

Inc.

95,000 $0 95,

(Right to Buy)

Explanation of Responses:

1. Vesting in equal installments over 18 months

/s/ Alexander K. Arrow, as Attorney-in- Fact

** Signature of Reporting

Common

Stock

10/17/2017

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 4 (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.

Protagenic Therapeutics Inc. published this content on 18 October 2017 and is solely responsible for the information contained herein.
Distributed by Public, unedited and unaltered, on 18 October 2017 23:55:03 UTC.

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