SEC Form 4 · accession 0001415889-16-004782
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
Feb 12, 2016
Accepted (ET)
Feb 16, 2016 · 4:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001411685
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Feb 12, 2016 | A | 5,625 | $0.00 | A | 26,234 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantF2,F3 | $10.00 | Feb 12, 2016 | D | 2,500 | D | Feb 6, 2012 | Dec 6, 2017 | Common Stock | 2,500 | 0 | I |
| WarrantF2,F3 | $20.00 | Feb 12, 2016 | D | 5,000 | D | Feb 6, 2012 | Dec 6, 2017 | Common Stock | 5,000 | 0 | I |
Explanation of responses
- F1Warrants for aggregate 7,500 shares surrendered and canceled in exchange for unregistered shares of Issuer common stock at a ratio of 0.75 x warrant shares to be exchanged.
- F2Number of shares and price have been adjusted to reflect the 20:1 reverse split of the Company's Common Stock on August 14, 2014.
- F3Held by The 1997 Singh Family Trust U/R/D 5/29/97.