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4//SEC Filing

Cato Allen Easley 4

Accession 0001412678-12-000001

CIK 0001411685other
View on SEC.govCompany Profile

Filed

Jan 8, 7:00 PM ET

Accepted

Jan 9, 4:50 PM ET

Size

20.4 KB

Accession

0001412678-12-000001

Insider Transaction Report

Form 4
Period: 2011-12-15
VistaGen Therapeutics, Inc.VSTA
Cato Allen Easley
10% Owner
Transactions
  • Conversion

    Common Stock

    2011-12-15$9999.44/sh+11,363$113,623,637→ 28,497 total
  • Exercise of In-Money

    Warrant

    2011-12-15$0.88/sh−11,363$9,999→ 28,067 total
    Exercise: $1.75From: 2008-08-25Exp: 2013-12-31→ Common Stock (1 underlying)
  • Sale

    Warrant

    2011-12-15$0.88/sh−6,988$6,149→ 28,067 total
    Exercise: $1.75From: 2008-08-25Exp: 2013-12-31→ Common Stock (1 underlying)
  • Exercise of In-Money

    Warrant

    2011-12-15$1.25/sh+212,166$265,208→ 0 total(indirect: By Cato Holding Company)
    Exercise: $2.50From: 2011-04-29Exp: 2014-05-11→ Common Stock (1 underlying)
  • Exercise of In-Money

    Warrant

    2011-12-15$1.05/sh+2,916$3,062→ 0 total(indirect: By Cato Holding Company)
    Exercise: $2.10From: 2008-03-21Exp: 2013-03-21→ Common Stock (1 underlying)
  • Exercise of In-Money

    Warrant

    2011-12-15$0.88/sh−46,542$40,957→ 0 total(indirect: By Cato Holding Company)
    Exercise: $1.75From: 2008-08-25Exp: 2013-12-31→ Common Stock (1 underlying)
  • Exercise of In-Money

    Warrant

    2011-12-15$1.00/sh−162,500$162,500→ 0 total(indirect: By Cato Holding Company)
    Exercise: $2.00From: 2010-11-19Exp: 2012-08-18→ Common Stock (1 underlying)
Holdings

  • Option

    Exercise: $2.10From: 2008-03-21Exp: 2018-03-21→ Common Stock (1 underlying)
    2,916

  • Common Stock

    (indirect: by Cato Holding Company)
    424,124
Footnotes (2)
  • [F1]The reporting person disclaims beneficial ownership of the securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.
  • [F2]The reporting person is the majority stockholder and chief executive office of Cato Holding Company.

Documents

1 file

Issuer

VistaGen Therapeutics, Inc.

CIK 0001411685

→
Entity typeother

Related Parties

1
  • filerCIK 0001412678

Filing Metadata

Form type
4
Filed
Jan 8, 7:00 PM ET
Accepted
Jan 9, 4:50 PM ET
Size
20.4 KB
View on SEC.gov