SEC Form 4 · accession 0001415889-15-003706
Vistagen Therapeutics, Inc. · VTGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shawn Singh
Officer — CHIEF EXECUTIVE OFFICER · Director
Period of report
Nov 11, 2015
Accepted (ET)
Nov 13, 2015 · 5:06 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001411685
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant for Common StockF1,F2 | $10.00 | Nov 11, 2015 | D | 4,017 | D | Aug 25, 2008 | Dec 31, 2016 | Common Stock | 4,017 | 0 | I |
| Warrant for Common StockF1,F2 | $7.00 | Nov 11, 2015 | A | 4,017 | A | Aug 25, 2008 | Mar 19, 2019 | Common Stock | 4,017 | 4,017 | I |
| Warrant for Common StockF1,F2 | $10.00 | Nov 11, 2015 | D | 1,786 | D | Aug 25, 2008 | Dec 31, 2016 | Common Stock | 1,786 | 0 | I |
| Warrant for Common StockF1,F2 | $7.00 | Nov 11, 2015 | A | 1,786 | A | Aug 25, 2008 | Mar 19, 2019 | Common Stock | 1,786 | 1,786 | I |
| Warrant for Common StockF3 | $12.80 | Nov 11, 2015 | D | 72,000 | D | Apr 1, 2015 | Mar 3, 2023 | Common Stock | 72,000 | 0 | D |
| WarrantF3 | $7.00 | Nov 11, 2015 | A | 72,000 | A | Apr 1, 2015 | Mar 3, 2023 | Common Stock | 72,000 | 72,000 | D |
| Warrant for Common StockF4,F2 | $10.00 | Nov 11, 2015 | D | 150,000 | D | Jan 11, 2015 | Jan 11, 2020 | Common Stock | 150,000 | 0 | I |
| Warrant for Common StockF4,F2 | $7.00 | Nov 11, 2015 | A | 150,000 | A | Jan 11, 2015 | Jan 11, 2020 | Common Stock | 150,000 | 150,000 | I |
| Warrant for Common StockF5,F2 | $9.25 | Nov 11, 2015 | D | 250,000 | D | Sep 2, 2015 | Sep 2, 2020 | Common Stock | 250,000 | 0 | I |
| Warrant for Common StockF5,F2 | $7.00 | Nov 11, 2015 | A | 250,000 | A | Sep 2, 2015 | Sep 2, 2020 | Common Stock | 250,000 | 250,000 | I |
Explanation of responses
- F1The two reported transactions involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the old warrant and the grant of a replacement warrant. The warrant was originally granted on August 25, 2008.
- F2Held by The 1997 Singh Family Trust U/R/D 5/29/97.
- F3The two reported transactions involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the old warrant and the grant of a replacement warrant. The warrant was originally granted on March 3, 2013.
- F4The two reported transactions involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the old warrant and the grant of a replacement warrant. The warrant was originally granted on January 11, 2015.
- F5The two reported transactions involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the old warrant and the grant of a replacement warrant. The warrant was originally granted on September 2, 2015.