0001209191-22-041617.txt : 20220708 0001209191-22-041617.hdr.sgml : 20220708 20220708160941 ACCESSION NUMBER: 0001209191-22-041617 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220406 FILED AS OF DATE: 20220708 DATE AS OF CHANGE: 20220708 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Shah Nimish P CENTRAL INDEX KEY: 0001698082 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37761 FILM NUMBER: 221074488 BUSINESS ADDRESS: BUSINESS PHONE: 650-475-3734 MAIL ADDRESS: STREET 1: 7 BRYANT PARK STREET 2: 23RD FLOOR CITY: NEW YORK CITY STATE: NY ZIP: 10018 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VHCP Management II, LLC CENTRAL INDEX KEY: 0001602263 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37761 FILM NUMBER: 221074495 BUSINESS ADDRESS: STREET 1: 7 BRYANT PARK STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 BUSINESS PHONE: 650 475 3734 MAIL ADDRESS: STREET 1: 7 BRYANT PARK STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Venrock Healthcare Capital Partners II, L.P. CENTRAL INDEX KEY: 0001602264 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37761 FILM NUMBER: 221074497 BUSINESS ADDRESS: STREET 1: 7 BRYANT PARK STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 BUSINESS PHONE: 650 475 3734 MAIL ADDRESS: STREET 1: 7 BRYANT PARK STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Koh Bong Y CENTRAL INDEX KEY: 0001615979 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37761 FILM NUMBER: 221074489 MAIL ADDRESS: STREET 1: 7 BRYANT PARK STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VHCP Co-Investment Holdings II, LLC CENTRAL INDEX KEY: 0001615983 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37761 FILM NUMBER: 221074496 BUSINESS ADDRESS: STREET 1: 7 BRYANT PARK STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 BUSINESS PHONE: 650-475-3734 MAIL ADDRESS: STREET 1: 7 BRYANT PARK STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VHCP Management EG, LLC CENTRAL INDEX KEY: 0001808518 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37761 FILM NUMBER: 221074490 BUSINESS ADDRESS: STREET 1: 3340 HILLVIEW AVENUE CITY: PALO ALTO STATE: CA ZIP: 94304 BUSINESS PHONE: 6505619580 MAIL ADDRESS: STREET 1: 3340 HILLVIEW AVENUE CITY: PALO ALTO STATE: CA ZIP: 94304 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Venrock Healthcare Capital Partners III, L.P. CENTRAL INDEX KEY: 0001738048 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37761 FILM NUMBER: 221074494 BUSINESS ADDRESS: STREET 1: 530 FIFTH AVENUE, 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212-444-4100 MAIL ADDRESS: STREET 1: 530 FIFTH AVENUE, 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VHCP Management III, LLC CENTRAL INDEX KEY: 0001738053 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37761 FILM NUMBER: 221074492 BUSINESS ADDRESS: STREET 1: 7 BRYANT PARK STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 BUSINESS PHONE: (650) 561-9580 MAIL ADDRESS: STREET 1: 7 BRYANT PARK STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VHCP Co-Investment Holdings III, LLC CENTRAL INDEX KEY: 0001750761 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37761 FILM NUMBER: 221074493 BUSINESS ADDRESS: STREET 1: 7 BRYANT PARK STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 BUSINESS PHONE: 650-475-3734 MAIL ADDRESS: STREET 1: 7 BRYANT PARK STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Venrock Healthcare Capital Partners EG, L.P. CENTRAL INDEX KEY: 0001808512 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37761 FILM NUMBER: 221074491 BUSINESS ADDRESS: STREET 1: 3340 HILLVIEW AVENUE CITY: PALO ALTO STATE: CA ZIP: 94304 BUSINESS PHONE: 6505619580 MAIL ADDRESS: STREET 1: 3340 HILLVIEW AVENUE CITY: PALO ALTO STATE: CA ZIP: 94304 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 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2022-04-06 0 0001411685 VistaGen Therapeutics, Inc. VTGN 0001602264 Venrock Healthcare Capital Partners II, L.P. C/O VENROCK 3340 HILLVIEW AVENUE PALO ALTO CA 94304 0 0 1 0 0001615983 VHCP Co-Investment Holdings II, LLC C/O VENROCK 3340 HILLVIEW AVENUE PALO ALTO CA 94304 0 0 1 0 0001602263 VHCP Management II, LLC C/O VENROCK 3340 HILLVIEW AVENUE PALO ALTO CA 94304 0 0 1 0 0001738048 Venrock Healthcare Capital Partners III, L.P. C/O VENROCK 3340 HILLVIEW AVENUE PALO ALTO CA 94304 0 0 1 0 0001750761 VHCP Co-Investment Holdings III, LLC C/O VENROCK 3340 HILLVIEW AVENUE PALO ALTO CA 94304 0 0 1 0 0001738053 VHCP Management III, LLC C/O VENROCK 3340 HILLVIEW AVENUE PALO ALTO CA 94304 0 0 1 0 0001808512 Venrock Healthcare Capital Partners EG, L.P. C/O VENROCK 3340 HILLVIEW AVENUE PALO ALTO CA 94304 0 0 1 0 0001808518 VHCP Management EG, LLC C/O VENROCK 3340 HILLVIEW AVENUE PALO ALTO CA 94304 0 0 1 0 0001615979 Koh Bong Y C/O VENROCK 3340 HILLVIEW AVENUE PALO ALTO CA 94304 0 0 1 0 0001698082 Shah Nimish P C/O VENROCK 3340 HILLVIEW AVENUE PALO ALTO CA 94304 0 0 1 0 Common Stock 20697286 I By Funds Consists of 4,949,368 shares held by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"), 2,005,785 shares held by VHCP Co-Investment Holdings II, LLC ("VHCP II Co"), 1,617,270 shares held by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), 161,820 shares held by VHCP Co-Investment Holdings III, LLC ("VHCP III Co") and 11,963,043 shares held by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). VHCP Management II, LLC ("VHCPM II") is the sole general partner of VHCP II and the sole manager of VHCP II Co. VHCP Management III, LLC ("VHCPM III") is the sole general partner of VHCP III and the sole manager of VHCP III Co. VHCP Management EG, LLC ("VHCPM EG") is the sole general partner of VHCP EG. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM II, VHCPM III and VHCPM EG. Dr. Koh, Mr. Shah, VHCPM II, VHCPM III and VHCPM EG disclaim beneficial ownership over all shares held by VHCP II, VHCP II Co, VHCP III, VHCP III Co and VHCP EG, except to the extent of their respective indirect pecuniary interests therein. /s/ David L. Stepp, Authorized Signatory 2022-07-08 David L. Stepp, Authorized Signatory 2022-07-08 David L. Stepp, Authorized Signatory 2022-07-08 David L. Stepp, Authorized Signatory 2022-07-08 David L. Stepp, Authorized Signatory 2022-07-08 David L. Stepp, Authorized Signatory 2022-07-08 David L. Stepp, Authorized Signatory 2022-07-08 David L. Stepp, Authorized Signatory 2022-07-08 David L. Stepp, Attorney-in-fact 2022-07-08 David L. Stepp, Attorney-in-fact 2022-07-08