DOTSON JERROLD DUANE 4
4 · VistaGen Therapeutics, Inc. · Filed Jul 2, 2021
Insider Transaction Report
Form 4
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 totalExercise: $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 totalExercise: $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 totalExercise: $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 totalExercise: $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.