Protagenic Therapeutics, Inc.\new PTIX US Equity
Protagenic Therapeutics, Inc.\new (OTC: PTIX), an SEC filer in Pharmaceutical Preparations, closed at $1.11, +22.0%, on 2026-08-28, with a market cap of $2M as of 2026-08-27 and a return on equity of -236.1%. Institutional ownership, earnings history and filed financials are on the tabs below.
Legal & controls
Item 3 and Item 9A as filed · every verdict is the registrant’s own sentence, printed below it · a filing that fails an extraction gate reads “not extracted”
| Fiscal year | Filed | Item 3 | ICFR | disclosure controls | material weakness | Filing |
|---|---|---|---|---|---|---|
| 2026-03-31 | 2026-08-14 | described here | NOT effective | not extracted | disclosed | EDGAR |
Item 3 · From time to time we may be named in claims arising in the ordinary course of business. As of March 31, 2026, no legal proceedings, government actions, administrative actions, investigations or claims are pending against us or involve us that, in the opinion of our management, could reasonably be expected to have a material adverse effect on our business, financial condition, and results of operations. Item 9A · ICFR · Based on its evaluation, our management concluded that our internal control over financial reporting was not effective as of the end of the period covered by this Annual Report on Form 10-K. Item 9A · material weakness · Management identified the following material weaknesses and concluded that the internal controls over financial reporting were not effective. | ||||||
| 2024-12-31 | 2025-03-31 | described here | NOT effective | NOT effective | disclosed | EDGAR |
Item 3 · From time to time we may be named in claims arising in the ordinary course of business. As of December 31, 2024, no legal proceedings, government actions, administrative actions, investigations or claims are pending against us or involve us that, in the opinion of our management, could reasonably be expected to have a material adverse effect on our business, financial condition, and results of operations. Item 9A · ICFR · Based on its evaluation, our management concluded that our internal control over financial reporting was not effective as of the end of the period covered by this Annual Report on Form 10-K. Item 9A · disclosure controls · Based upon that evaluation, the Company’s management concluded that the Company’s disclosure controls and procedures were not effective to ensure that information required to be disclosed by the Company in the reports that the Company files or submits under the Exchange Act, is recorded, processed, summarized and reported, within the time periods specified in the SEC’s rules and forms, and that such information is accumulated and communicated to the Company’s management to allow timely decisions regarding required disclosure due to the following: During the quarter ended December 31, 2024, the Company analyzed and documented accounting policies and procedures. Item 9A · material weakness · Management identified the following material weaknesses and concluded that the internal controls over financial reporting were not effective. | ||||||
| 2023-12-31 | 2024-04-01 | described here | NOT effective | NOT effective | disclosed | EDGAR |
Item 3 · From time to time we may be named in claims arising in the ordinary course of business. As of December 31, 2023, no legal proceedings, government actions, administrative actions, investigations or claims are pending against us or involve us that, in the opinion of our management, could reasonably be expected to have a material adverse effect on our business, financial condition, and results of operations. Item 9A · ICFR · Based on its evaluation, our management concluded that our internal control over financial reporting was not effective as of the end of the period covered by this Annual Report on Form 10-K. Item 9A · disclosure controls · Based upon that evaluation, the Company’s management concluded that the Company’s disclosure controls and procedures were not effective to ensure that information required to be disclosed by the Company in the reports that the Company files or submits under the Exchange Act, is recorded, processed, summarized and reported, within the time periods specified in the SEC’s rules and forms, and that such information is accumulated and communicated to the Company’s management to allow timely decisions regarding required disclosure due to the following: During the quarter ended December 31, 2023, the Company analyzed and documenting accounting policies and procedures. Item 9A · material weakness · Management identified the following material weaknesses and concluded that the internal controls over financial reporting were not effective. | ||||||
| 2022-12-31 | 2023-03-31 | described here | NOT effective | NOT effective | disclosed | EDGAR |
Item 3 · From time to time we may be named in claims arising in the ordinary course of business. As of December 31, 2022, no legal proceedings, government actions, administrative actions, investigations or claims are pending against us or involve us that, in the opinion of our management, could reasonably be expected to have a material adverse effect on our business, financial condition, and results of operations. Item 9A · ICFR · Based on its evaluation, our management concluded that our internal control over financial reporting was not effective as of the end of the period covered by this Annual Report on Form 10-K. Item 9A · disclosure controls · Based upon that evaluation, the Company’s management concluded that the Company’s disclosure controls and procedures were not effective to ensure that information required to be disclosed by the Company in the reports that the Company files or submits under the Exchange Act, is recorded, processed, summarized and reported, within the time periods specified in the SEC’s rules and forms, and that such information is accumulated and communicated to the Company’s management to allow timely decisions regarding required disclosure due to the following: During the quarter ended December 31, 2022, the Company analyzed and documenting accounting policies and procedures. Item 9A · material weakness · Management identified the following material weaknesses and concluded that the internal controls over financial reporting were not effective. | ||||||
| 2021-12-31 | 2022-04-07 | described here | NOT effective | NOT effective | disclosed | EDGAR |
Item 3 · From time to time we may be named in claims arising in the ordinary course of business. As of December 31, 2021, no legal proceedings, government actions, administrative actions, investigations or claims are pending against us or involve us that, in the opinion of our management, could reasonably be expected to have a material adverse effect on our business, financial condition, and results of operations. Item 9A · ICFR · Based on its evaluation, our management concluded that our internal control over financial reporting was not effective as of the end of the period covered by this Annual Report on Form 10-K. Item 9A · disclosure controls · Based upon that evaluation, the Company’s management concluded that the Company’s disclosure controls and procedures were not effective to ensure that information required to be disclosed by the Company in the reports that the Company files or submits under the Exchange Act, is recorded, processed, summarized and reported, within the time periods specified in the SEC’s rules and forms, and that such information is accumulated and communicated to the Company’s management to allow timely decisions regarding required disclosure due to the following: During the quarter ended December 31, 2021, the Company analyzed and documenting accounting policies and procedures. Item 9A · material weakness · Management identified the following material weaknesses and concluded that the internal controls over financial reporting were not effective. | ||||||
5 of 5 annual reports on record have their filing text cached on this host; the rest are listed with their EDGAR link and no extraction, because this surface never fetches from SEC on a page load.
- Item 3 and Item 9A are located in the filing HTML already cached on this host and read with the same line-anchored item matcher and largest-gap body disambiguation the filing-narrative pass uses for Item 1A and Item 7 — no fetch, no model, no summarization.
- A heading is accepted as a section only when it is not a table-of-contents row (a trailing page number), not a quoted reference in prose, and names its own section; the span must then clear a per-item length band and carry readable text after the heading. Anything that fails a gate is served as 'not extracted' with the reason — never as a default value.
- An effectiveness conclusion is read only from a sentence that names its own control set (disclosure controls and procedures, or internal control over financial reporting) and states an outcome. Conditional sentences — the standard limitations paragraph and forward-looking remediation language — are excluded, because they are hypotheses rather than conclusions.
- When a filing's own sentences disagree — an effective conclusion beside an unremediated material-weakness disclosure, or two conclusions of opposite sign — no verdict is asserted. A wrong 'controls were effective' reading is worse than no reading.
- Every verdict is shown beside the verbatim sentence it was read from. The excerpt is the filing's own words, capped at 1,200 characters; the filing itself is one link away.