Smith Mark Alan 4

4 · VistaGen Therapeutics, Inc. · Filed Aug 31, 2018

Form 4

Period: 2018-08-29

CHIEF MEDICAL OFFICER

Transactions

Disposition to Issuer
Stock Option (Right to Buy)
2018-08-29−80,000→ 0 total
Exercise: $3.80Exp: 2026-11-09→ Common Stock (80,000 underlying)
Award
Stock Option (Right to Buy)
2018-08-29+125,000→ 125,000 total
Exercise: $1.50Exp: 2027-04-26→ Common Stock (125,000 underlying)
Disposition to Issuer
Stock Option (Right to Buy)
2018-08-29−180,000→ 0 total
Exercise: $3.49Exp: 2026-06-19→ Common Stock (180,000 underlying)
Award
Stock Option (Right to Buy)
2018-08-29+80,000→ 80,000 total
Exercise: $1.50Exp: 2026-11-09→ Common Stock (80,000 underlying)
Award
Stock Option (Right to Buy)
2018-08-29+180,000→ 180,000 total
Exercise: $1.50Exp: 2026-06-19→ Common Stock (180,000 underlying)
Disposition to Issuer
Stock Option (Right to Buy)
2018-08-29−125,000→ 0 total
Exercise: $1.96Exp: 2027-04-26→ Common Stock (125,000 underlying)

Footnotes (6)

[F1]The reporting person agreed to cancellation of an option granted to him on 6/19/2016 in exchange for a new option having a lower exercise price.
[F2]The option vests monthly over a period of four years commencing 6/19/2016.
[F3]The reporting person agreed to cancellation of an option granted to him on 11/9/2016 in exchange for a new option having a lower exercise price.
[F4]The option vests monthly over a period of three years commencing 11/9/2016.
[F5]The reporting person agreed to cancellation of an option granted to him on 4/26/2017 in exchange for a new option having a lower exercise price.
[F6]The option vests monthly over a period of three years commencing 4/26/2017.

Documents

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