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4//SEC Filing

DOTSON JERROLD DUANE 4

Accession 0001415889-21-003391

CIK 0001411685other

View on SEC.gov Company Profile

Filed

Jul 1, 8:00 PM ET

Accepted

Jul 2, 4:10 PM ET

Size

18.3 KB

Accession

0001415889-21-003391

Insider Transaction Report

Form 4

Period: 2021-06-30

VistaGen Therapeutics, Inc.VTGN

DOTSON JERROLD DUANE

ACTING CFO

Transactions

Exercise/Conversion
Common Stock
2021-06-30$1.00/sh+78,918$78,918→ 92,962 total
Exercise/Conversion
Stock Option (Right to Buy)
2021-06-30−1,000→ 0 total
Exercise: $1.50From: 2018-08-29Exp: 2023-10-27→ Common Stock (1,000 underlying)
Exercise/Conversion
Stock Option (Right to Buy)
2021-06-30−78,918→ 34,375 total
Exercise: $1.00Exp: 2029-05-23→ Common Stock (113,293 underlying)
Award
Common Stock
2021-06-30$1.95/sh+3,044$5,925→ 13,044 total
Disposition to Issuer
Stock Option (Right to Buy)
2021-06-30−36,707→ 113,293 total
Exercise: $1.00Exp: 2029-05-23→ Common Stock (150,000 underlying)
Exercise/Conversion
Common Stock
2021-06-30$1.50/sh+1,000$1,500→ 14,044 total
Exercise/Conversion
Common Stock
2021-06-30$0.40/sh+9,824$3,910→ 102,786 total
Exercise/Conversion
Stock Option (Right to Buy)
2021-06-30−9,824→ 140,176 total
Exercise: $0.40Exp: 2030-04-23→ Common Stock (150,000 underlying)

Footnotes (4)

[F1]Shares purchased under the Vistagen Therapeutics, Inc. 2019 Employee Stock Purchase Plan on June 30, 2021 in a transaction exempt under Rule 16b-3(c).
[F2]Represents stock options that were cancelled and returned to the Issuer in order to pay the exercise price associated with the exercise reported herein.
[F3]25% of the shares subject to this stock option vested May 23, 2019, with the the remaining shares vesting in 1/36th installments on each monthly anniversary thereafter.
[F4]Twenty-five percent (25%) of the total number of shares began vesting immediately on April 23, 2020, with the remaining shares vesting in 1/24th monthly installments thereafter.

Documents

1 file

4
form4-07022021_040729.xmlPrimary

Issuer

VistaGen Therapeutics, Inc.

CIK 0001411685

Entity typeother

Related Parties

1

filerCIK 0001388853

Filing Metadata

Form type: 4
Filed: Jul 1, 8:00 PM ET
Accepted: Jul 2, 4:10 PM ET
Size: 18.3 KB

View on SEC.gov