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4//SEC Filing

RICE A. FRANKLIN 4

Accession 0001415889-11-000430

CIK 0001411685other
View on SEC.govCompany Profile

Filed

May 24, 8:00 PM ET

Accepted

May 25, 6:55 PM ET

Size

33.9 KB

Accession

0001415889-11-000430

Insider Transaction Report

Form 4
Period: 2011-05-11
Excaliber Enterprises, Ltd.EXCA
RICE A. FRANKLIN
CHIEF OPERATING OFFICER
Transactions
  • Award

    Stock Option (Right to Buy)

    2011-05-11+10,000→ 10,000 total
    Exercise: $1.44From: 2009-01-01Exp: 2017-05-17→ Common Stock (10,000 underlying)
  • Award

    Common Stock

    2011-05-11$3.50/sh+229,521$803,324→ 229,521 total
  • Award

    Stock Option (Right to Buy)

    2011-05-11+32,500→ 32,500 total
    Exercise: $1.60From: 2007-12-21Exp: 2016-12-21→ Common Stock (32,500 underlying)
  • Award

    Stock Option (Right to Buy)

    2011-05-11+87,500→ 87,500 total
    Exercise: $3.00Exp: 2019-12-30→ Common Stock (87,500 underlying)
  • Award

    Warrant

    2011-05-11+795→ 795 total
    Exercise: $5.00From: 2011-05-11Exp: 2014-05-11→ Common Stock (795 underlying)
  • Award

    Stock Option (Right to Buy)

    2011-05-11+20,000→ 20,000 total
    Exercise: $2.26Exp: 2019-03-24→ Common Stock (20,000 underlying)
  • Award

    Stock Optioin (Right to Buy)

    2011-05-11+12,500→ 12,500 total
    Exercise: $4.20Exp: 2018-01-17→ Common Stock (12,500 underlying)
  • Award

    Warrant

    2011-05-11+1,428→ 1,428 total
    Exercise: $5.25From: 2011-05-11Exp: 2013-12-31→ Common Stock (1,428 underlying)
  • Award

    Stock Option (Right to Buy)

    2011-05-11+5,500→ 5,500 total
    Exercise: $1.90From: 2006-12-21Exp: 2015-04-11→ Common Stock (5,500 underlying)
  • Award

    Stock Option (Right to Buy)

    2011-05-11+6,250→ 6,250 total
    Exercise: $1.76From: 2006-12-21Exp: 2016-07-06→ Common Stock (6,250 underlying)
  • Award

    Stock Option (Right to Buy)

    2011-05-11+50,000→ 50,000 total
    Exercise: $3.00Exp: 2019-11-04→ Common Stock (50,000 underlying)
Footnotes (20)
  • [F1]Shares received in a stock-for-stock exchange of shares of VistaGen Therapeutics Inc. ("VistaGen") Common Stock in connection with the Agreement and Plan of Merger by and among VistaGen, the Issuer and a wholly-owned subsidiary of Issuer, such that VistaGen became a wholly-owned subsidiary of Issuer (the "Merger"). The exchange ratio in connection with the Merger was one share of VistaGen Common Stock at a price of $1.75 per share for 0.5 shares of Issuer Common Stock at a price of $3.50 per share (the "Exchange Ratio"). All shares reflected in the Tables and the footnotes give effect to the Exchange Ratio.
  • [F10]Options vest monthly over a period of four years commencing March 24, 2009
  • [F11]Received in the Merger in exchange for an employee stock option to acquire 20,000 shares of VistaGen common stock for $2.26 per share.
  • [F12]Options vest 50% after three months and 50% after six months commencing June 17, 2009
  • [F13]Received in the Merger in exchange for an employee stock option to acquire 10,000 shares of VistaGen common stock for $2.26 per share.
  • [F14]Options vest monthly over a period of two years commencing November 1, 2009
  • [F15]Received in the Merger in exchange for an employee stock option to acquire 50,000 shares of VistaGen common stock for $3.00 per share.
  • [F16]Options vest monthly over a period of three years commencing December 31, 2009
  • [F17]Received in the Merger in exchange for an employee stock option to acquire 87,500 shares of VistaGen common stock for $3.00 per share.
  • [F18]Options vest monthly over a peoriod of four years commencing April 25, 2011
  • [F19]Received in the Merger in exchange for an employee stock option to acquire 50,000 shares of VistaGen common stock for $3.50 per share.
  • [F2]Includes 100,000 shares subject to divorce decree.
  • [F20]Received in the Merger in exchange for a warrant to acquire 795 shares of VistaGen common stock for $5.00 per share.
  • [F3]Received in the Merger in exchange for a warrant to acquire 1,428 shares of VistaGen common stock for $5.25 per share.
  • [F4]Received in the Merger in exchange for an employee stock option to acquire 5,500 shares of VistaGen common stock for $1.90 per share.
  • [F5]Received in the Merger in exchange for an employee stock option to acquire 6,250 shares of VistaGen common stock for $1.76 per share.
  • [F6]Received in the Merger in exchange for an employee stock option to acquire 32,500 shares of VistaGen common stock for $1.60 per share.
  • [F7]Received in the Merger in exchange for an employee stock option to acquire 10,000 shares of VistaGen common stock for $1.44 per share.
  • [F8]Options vest monthly over a period of four years commencing January 17, 2008
  • [F9]Received in the Merger in exchange for an employee stock option to acquire 12,500 shares of VistaGen common stock for $4.20 per share.

Documents

1 file

Issuer

Excaliber Enterprises, Ltd.

CIK 0001411685

→
Entity typeother

Related Parties

1
  • filerCIK 0001415825

Filing Metadata

Form type
4
Filed
May 24, 8:00 PM ET
Accepted
May 25, 6:55 PM ET
Size
33.9 KB
View on SEC.gov