SEC Form 4 · accession 0001415889-19-000055
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
Jan 14, 2019
Accepted (ET)
Jan 15, 2019 · 4:29 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 Stock | Jan 14, 2019 | M | 21,250 | $1.50 | A | 21,250 | D | |
| Common Stock | Jan 14, 2019 | M | 1,125 | $1.50 | A | 22,375 | D | |
| Common Stock | Jan 14, 2019 | M | 3,000 | $1.50 | A | 25,375 | D | |
| Common Stock | holding | — | — | — | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $1.50 | Jan 14, 2019 | M | 21,250 | D | Aug 29, 2018 | Dec 31, 2019 | Common Stock | 21,250 | 0 | D |
| Stock Option (Right to Buy) | $1.50 | Jan 14, 2019 | M | 1,125 | D | Aug 28, 2018 | Jun 17, 2019 | Common Stock | 1,125 | 0 | D |
| Stock Option (Right to Buy) | $1.50 | Jan 14, 2019 | M | 3,000 | D | Aug 29, 2018 | Mar 24, 2019 | Common Stock | 3,000 | 0 | D |