0001415889-18-001318.txt : 20180831 0001415889-18-001318.hdr.sgml : 20180831 20180831172447 ACCESSION NUMBER: 0001415889-18-001318 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180829 FILED AS OF DATE: 20180831 DATE AS OF CHANGE: 20180831 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GIN JERRY B CENTRAL INDEX KEY: 0000901014 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37761 FILM NUMBER: 181050765 MAIL ADDRESS: STREET 1: 343 ALLERTON AVE CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: VistaGen Therapeutics, Inc. CENTRAL INDEX KEY: 0001411685 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 205093315 STATE OF INCORPORATION: NV FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 343 ALLERTON AVENUE CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 650-577-3600 MAIL ADDRESS: STREET 1: 343 ALLERTON AVENUE CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 FORMER COMPANY: FORMER CONFORMED NAME: Excaliber Enterprises, Ltd. DATE OF NAME CHANGE: 20070906 4 1 form4-08312018_020832.xml X0306 4 2018-08-29 0001411685 VistaGen Therapeutics, Inc. VTGN 0000901014 GIN JERRY B C/O VISTAGEN THERAPEUTICS, INC. 343 ALLERTON AVENUE SOUTH SAN FRANCISCO CA 94080 true false false false Stock Option (Right to Buy) 8 2018-08-29 4 D 0 25000 0 D 2017-03-30 2026-03-30 Common Stock 25000 0 D Stock Option (Right to Buy) 1.50 2018-08-29 4 A 0 25000 0 A 2018-08-29 2026-03-30 Common Stock 25000 25000 D Stock Option (Right to Buy) 3.49 2018-08-29 4 D 0 25000 0 D 2026-06-19 Common Stock 25000 0 D Stock Option (Right to Buy) 1.50 2018-08-29 4 A 0 25000 0 A 2026-06-19 Common Stock 25000 25000 D Stock Option (Right to Buy) 3.80 2018-08-29 4 D 0 25000 0 D 2026-11-09 Common Stock 25000 0 D Stock Option (Right to Buy) 1.50 2018-08-29 4 A 0 25000 0 A 2026-11-09 Common Stock 25000 25000 D Stock Option (Right to Buy) 1.96 2018-08-29 4 D 0 35000 0 D 2026-11-09 Common Stock 35000 0 D Stock Option (Right to Buy) 1.50 2018-08-29 4 A 0 35000 0 A 2026-11-09 Common Stock 35000 35000 D The reporting person agreed to cancellation of an option granted to him on 3/30/2016 in exchange for a new option having a lower exercise price. The 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. The option vests monthly over a period of four years commencing 6/19/2016. The 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. The option vests monthly over a period of three years commencing 11/9/2016. The 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. The option vests monthly over a period of three years commencing 4/26/2017. /s/ Jerrold D. Dotson, Attorney-in-Fact 2018-08-31