0001415889-15-003709.txt : 20151113
0001415889-15-003709.hdr.sgml : 20151113
20151113170746
ACCESSION NUMBER: 0001415889-15-003709
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151111
FILED AS OF DATE: 20151113
DATE AS OF CHANGE: 20151113
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: 650-244-9990
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Underdown Brian J.
CENTRAL INDEX KEY: 0001526335
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-54014
FILM NUMBER: 151230084
MAIL ADDRESS:
STREET 1: C/O LUMIRA CAPITAL INVESTMENT MANAGEMENT
STREET 2: 141 ADELAIDE ST. WEST, SUITE 770
CITY: TORONTO ONTARIO CANADA M5H 3L5
STATE: A6
ZIP: 00000
4
1
form4-11132015_021138.xml
X0306
4
2015-11-11
0001411685
VistaGen Therapeutics, Inc.
VSTA
0001526335
Underdown Brian J.
C/O VISTAGEN THERAPEUTICS, INC.
343 ALLERTON AVENUE
SOUTH SAN FRANCISCO
CA
94080
true
false
false
false
Warrant for Common Stock
10
2015-11-11
4
D
0
2500
0
D
2012-02-13
2016-02-13
Common Stock
2500
0
D
Warrant for Common Stock
7
2015-11-11
4
A
0
2500
0
A
2012-02-13
2019-03-19
Common Stock
2500
2500
D
Warrant for Common Stock
12.8
2015-11-11
4
D
0
7500
0
D
2015-04-01
2023-03-03
Common Stock
7500
0
D
Warrant for Common Stock
7
2015-11-11
4
A
0
7500
0
A
2015-04-01
2023-03-03
Common Stock
7500
7500
D
Warrant for Common Stock
10
2015-11-11
4
D
0
2500
0
D
2019-03-19
Common Stock
2500
0
D
Warrant for Common Stock
7
2015-11-11
4
A
0
2500
0
A
2019-03-19
Common Stock
2500
2500
D
Warrant for Common Stock
10
2015-11-11
4
D
0
20000
0
D
2015-01-11
2020-01-11
Common Stock
20000
0
D
Warrant for Common Stock
7
2015-11-11
4
A
0
20000
0
A
2015-01-11
2020-01-11
Common Stock
20000
20000
D
Warrant for Common Stock
9.25
2015-11-11
4
D
0
50000
0
D
2015-09-02
2020-09-02
Common Stock
50000
0
D
Warrant for Common Stock
7
2015-11-11
4
A
0
50000
0
A
2015-09-02
2020-09-02
Common Stock
50000
50000
D
The two reported transactions involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the old warrant and the grant of a replacement warrant. The warrant was originally granted on February 13, 2012.
The two reported transactions involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the old warrant and the grant of a replacement warrant. The warrant was originally granted on March 3, 2013.
The two reported transactions involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the old warrant and the grant of a replacement warrant. The warrant was originally granted on March 19, 2014.
Subject to the Reporting Person's continuous service, and as incentive to continue service as an independent Director and build shareholder value, the Warrant will vest according to the following schedule: 50% of the total number of shares on April 1, 2014 (the "Vesting Start Date"); 25% of the total number of shares on the one year anniversary of the Vesting Start Date; and 25% of the total number of shares on the two year anniversary of the Vesting Start Date; provided, however, that the Warrant shall vest in full upon a change in control of the Company, or upon the consummation by the Company and a third-party of a license or sale transaction involving at least one (1) new drug rescue variant developed by the Company.
The two reported transactions involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the old warrant and the grant of a replacement warrant. The warrant was originally granted on January 11, 2015.
The two reported transactions involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the old warrant and the grant of a replacement warrant. The warrant was originally granted on September 2, 2015.
/s/ Jerrold D. Dotson, Attorney-in-Fact
2015-11-13