SEC Form 4 · accession 0001415889-17-000882
Vistagen Therapeutics, Inc. · VTGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jerry B Gin
Director
Period of report
May 31, 2017
Accepted (ET)
Jun 1, 2017 · 4:56 pm EDT
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 | May 31, 2017 | P$0 | 50,000 | — | A | 50,000 | I | By Jermax, LLC |
| Common StockF3,F4 | May 31, 2017 | P$0 | 50,000 | — | A | 100,000 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantF1,F2 | $4.00 | May 31, 2017 | P | 25,000 | A | Dec 1, 2017 | Apr 30, 2021 | Common Stock | 25,000 | 25,000 | I |
| WarrantF3,F4 | $4.00 | May 31, 2017 | P | 25,000 | A | Dec 1, 2017 | Apr 30, 2021 | Common Stock | 25,000 | 50,000 | I |
Explanation of responses
- F1Reporting Person purchased fifty thousand (50,000) Units, at a per-Unit cost of two dollars ($2.00), in the Issuer's private placement, each Unit consisting of one (1) share of unregistsered Common Stock and a warrant to purchase one-half (0.5) share of unregistered Common Stock at an exercise price of $4.00 per share.
- F2Jermax, LLC is wholly owned and controlled by the Reporting Person.
- F3Reporting Person's spouse purchased fifty thousand (50,000) Units, at a per-Unit cost of two dollars ($2.00), in the Issuer's private placement, each Unit consisting of one (1) share of unregistsered Common Stock and a warrant to purchase one-half (0.5) share of unregistered Common Stock at an exercise price of $4.00 per share.
- F4Shares are held by Pegmax, LLC, which is wholly owned and controlled by the Reporting Person's spouse, Margaret P. Gin.