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4/A//SEC Filing

GIN JERRY B 4/A

Accession 0001415889-17-001635

CIK 0001411685other
View on SEC.govCompany Profile

Filed

Oct 5, 8:00 PM ET

Accepted

Oct 6, 5:30 PM ET

Size

19.5 KB

Accession

0001415889-17-001635

Insider Transaction Report

Form 4/AAmended
Period: 2017-09-15
VistaGen Therapeutics, Inc.VTGN
GIN JERRY B
Director
Transactions
  • Award

    Stock Option (Right to Buy)

    2017-09-19+50,000→ 50,000 total
    Exercise: $1.56Exp: 2027-09-19→ Common Stock (50,000 underlying)
  • Disposition to Issuer

    Warrant

    2017-09-15−25,000→ 0 total(indirect: By LLC)
    Exercise: $4.00From: 2017-12-01Exp: 2021-04-30→ Common Stock (25,000 underlying)
  • Award

    Warrant

    2017-09-15+25,000→ 25,000 total(indirect: By Spouse)
    Exercise: $2.00From: 2017-12-01Exp: 2021-04-30→ Common Stock (25,000 underlying)
  • Award

    Warrants

    2017-09-15+25,000→ 25,000 total(indirect: By Spouse)
    Exercise: $2.00From: 2018-05-19Exp: 2021-04-30→ Common Stock (25,000 underlying)
  • Disposition to Issuer

    Warrant

    2017-09-15−25,000→ 0 total(indirect: By Spouse)
    Exercise: $4.00From: 2017-12-01Exp: 2021-04-30→ Common Stock (25,000 underlying)
  • Award

    Warrant

    2017-09-15+25,000→ 25,000 total(indirect: By LLC)
    Exercise: $2.00From: 2017-12-01Exp: 2021-04-30→ Common Stock (25,000 underlying)
  • Award

    Warrant

    2017-09-15+25,000→ 25,000 total(indirect: By LLC)
    Exercise: $2.00From: 2018-05-19Exp: 2021-04-30→ Common Stock (25,000 underlying)
Footnotes (2)
  • [F1]1/3rd of the total number of shares shall be immediately vested upon the Vesting Start Date, 9/19/2017, and 1/24th of the remaining number of shares shall vest monthly thereafter until all awarded shares are fully vested two (2) years from the Vesting Start Date.
  • [F2]This Amendment to the Form 4 originally filed by the Reporting Person on September 20, 2017 (the "Original Filing") is being filed to report (i) the reduction of the exercise price of warrants purchased by Jermax, LLC, an entity controlled by the Reporting Person ("Jermax"), and the Reporting Person's spouse from the Issuer on May 31, 2017 in a private placement transaction (the "Initial Warrants") and (ii) the issuance of additional warrants to Jermax and the Reporting Person's spouse (the "Additional Warrants"). The Issuer's Board of Directors approved the reduction of the exercise price from $4.00 per share to $2.00 per share for the Initial Warrants and all other warrants issued in the same private placement (the "Spring 2017 Private Placement"), and the issuance of the Additional Warrants and warrants similar to the Additional Warrants for all other participants in the Spring 2017 Private Placement.

Documents

1 file

Issuer

VistaGen Therapeutics, Inc.

CIK 0001411685

→
Entity typeother

Related Parties

1
  • filerCIK 0000901014

Filing Metadata

Form type
4/A
Filed
Oct 5, 8:00 PM ET
Accepted
Oct 6, 5:30 PM ET
Size
19.5 KB
View on SEC.gov