Form 4 for VTGN Vistagen Therapeutics, Inc.
Accepted 2021-07-02 00:00:00 ET · period of report 2021-06-30 · accession 0001415889-21-003391 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-07-02 | 2021-06-30 | VTGN | DOTSON JERROLD DUANE | VP, CFO AND Sec | M - OptEx | $0.9399 | +89.7K | 14.0K | New | +$84.3K |
| D | 2021-07-02 | 2021-06-30 | VTGN | DOTSON JERROLD DUANE | VP, CFO AND Sec | A - Grant | $1.95 | +3,044 | 13.0K | +30% | +$5,936 |
| DM | 2021-07-02 | 2021-06-30 | VTGN | DOTSON JERROLD DUANE | VP, CFO AND Sec | M - OptEx | $0.00 | -89.7K | 34.4K | -72% | $0 |
| D | 2021-07-02 | 2021-06-30 | VTGN | DOTSON JERROLD DUANE | VP, CFO AND Sec | D - Sale to Iss | $0.00 | -36.7K | 113.3K | -24% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-06-30 | M | A | 9,824 | $0.4 | 102,786 | D | — | — | |
| 2 | Common | Common Stock | 2021-06-30 | M | A | 78,918 | $1.00 | 92,962 | D | — | — | |
| 3 | Common | Common Stock | 2021-06-30 | M | A | 1,000 | $1.50 | 14,044 | D | — | — | |
| 4 | Common | Common Stock | 2021-06-30 | A | A | 3,044 | $1.95 | 13,044 | D | — | — | (F1) Shares purchased under the Vistagen Therapeutics, Inc. 2019 Employee Stock Purchase Plan on June 30, 2021 in a transaction exempt under Rule 16b-3(c). |
| 5 | Derivative | Stock Option (Right to Buy) | 2021-06-30 | M | D | 1,000 | $0.00 | 0 | D | $1.50 · 2018-08-29 to 2023-10-27 | 1,000 Common Stock | |
| 6 | Derivative | Stock Option (Right to Buy) | 2021-06-30 | D | D | 36,707 | $0.00 | 113,293 | D | $1.00 · — to 2029-05-23 | 150,000 Common Stock | (F3) 25% of the shares subject to this stock option vested May 23, 2019, with the the remaining shares vesting in 1/36th installments on each monthly anniversary thereafter. |
| 7 | Derivative | Stock Option (Right to Buy) | 2021-06-30 | M | D | 9,824 | $0.00 | 140,176 | D | $0.4 · — to 2030-04-23 | 150,000 Common Stock | (F4) Twenty-five percent (25%) of the total number of shares began vesting immediately on April 23, 2020, with the remaining shares vesting in 1/24th monthly installments thereafter. |
| 8 | Derivative | Stock Option (Right to Buy) | 2021-06-30 | M | D | 78,918 | $0.00 | 34,375 | D | $1.00 · — to 2029-05-23 | 113,293 Common Stock | (F3) 25% of the shares subject to this stock option vested May 23, 2019, with the the remaining shares vesting in 1/36th installments on each monthly anniversary thereafter. |