SEC Form 4 · accession 0001415889-18-001316
Vistagen Therapeutics, Inc. · VTGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian J. Underdown
Director
Period of report
Aug 29, 2018
Accepted (ET)
Aug 31, 2018 · 5:22 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $10.00 | Aug 29, 2018 | D | 500 | D | Nov 4, 2011 | Nov 4, 2019 | Common Stock | 500 | 0 | D |
| Stock Option (Right to Buy) | $1.50 | Aug 29, 2018 | A | 500 | A | Aug 29, 2018 | Nov 4, 2019 | Common Stock | 500 | 500 | D |
| Stock Option (Right to Buy)F2 | $10.00 | Aug 29, 2018 | D | 6,250 | D | Dec 30, 2011 | Dec 30, 2019 | Common Stock | 6,250 | 0 | D |
| Stock Option (Right to Buy) | $1.50 | Aug 29, 2018 | A | 6,250 | A | Aug 29, 2018 | Dec 30, 2019 | Common Stock | 6,250 | 6,250 | D |
| Stock Option (Right to Buy)F3 | $10.00 | Aug 29, 2018 | D | 2,500 | D | Apr 25, 2015 | Apr 26, 2021 | Common Stock | 2,500 | 0 | D |
| Stock Option (Right to Buy) | $1.50 | Aug 29, 2018 | A | 2,500 | A | Aug 29, 2018 | Apr 26, 2021 | Common Stock | 2,500 | 2,500 | D |
| Stock Option (Right to Buy)F4,F5 | $3.49 | Aug 29, 2018 | D | 25,000 | D | — | Jun 19, 2026 | Common Stock | 25,000 | 0 | D |
| Stock Option (Right to Buy)F5 | $1.50 | Aug 29, 2018 | A | 25,000 | A | — | Jun 19, 2026 | Common Stock | 25,000 | 25,000 | D |
| Stock Option (Right to Buy)F6,F7 | $3.80 | Aug 29, 2018 | D | 25,000 | D | — | Nov 9, 2026 | Common Stock | 25,000 | 0 | D |
| Stock Option (Right to Buy)F7 | $1.50 | Aug 29, 2018 | A | 25,000 | A | — | Nov 9, 2026 | Common Stock | 25,000 | 25,000 | D |
| Stock Option (Right to Buy)F8,F9 | $1.96 | Aug 29, 2018 | D | 35,000 | D | — | Apr 26, 2027 | Common Stock | 35,000 | 0 | D |
| Stock Option (Right to Buy)F9 | $1.50 | Aug 29, 2018 | A | 35,000 | A | — | Apr 26, 2027 | Common Stock | 35,000 | 35,000 | D |
Explanation of responses
- F1The reporting person agreed to cancellation of an option granted to him on 11/4/2009 in exchange for a new option having a lower exercise price.
- F2The reporting person agreed to cancellation of an option granted to him on 12/30/2009 in exchange for a new option having a lower exercise price.
- F3The reporting person agreed to cancellation of an option granted to him on 4/26/2011 in exchange for a new option having a lower exercise price.
- F4The reporting person agreed to cancellation of an option granted to him on 6/19/2016 in exchange for a new option having a lower exercise price.
- F5The option vests monthly over a period of four years commencing 6/19/2016.
- F6The reporting person agreed to cancellation of an option granted to him on 11/9/2016 in exchange for a new option having a lower exercise price.
- F7The option vests monthly over a period of three years commencing 11/9/2016.
- F8The reporting person agreed to cancellation of an option granted to him on 4/26/2017 in exchange for a new option having a lower exercise price.
- F9The option vests monthly over a period of three years commencing 4/26/2017.