0001415889-21-000016.txt : 20210104
0001415889-21-000016.hdr.sgml : 20210104
20210104165557
ACCESSION NUMBER: 0001415889-21-000016
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201230
FILED AS OF DATE: 20210104
DATE AS OF CHANGE: 20210104
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Smith Mark Alan
CENTRAL INDEX KEY: 0001677452
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37761
FILM NUMBER: 21502473
MAIL ADDRESS:
STREET 1: 343 ALLERTON AVENUE
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
form4-01042021_010147.xml
X0306
4
2020-12-30
0001411685
VistaGen Therapeutics, Inc.
VTGN
0001677452
Smith Mark Alan
C/O VISTAGEN THERAPEUTICS, INC.
343 ALLERTON AVENUE
SOUTH SAN FRANCISCO
CA
94080
false
true
false
false
CHIEF MEDICAL OFFICER
Common Stock
2020-12-31
4
A
0
5000
0.4521
A
10000
D
Stock Option (Right to Buy)
1.77
2020-12-30
4
A
0
150000
0
A
2030-12-30
Common Stock
150000
150000
D
Shares purchased under the Vistagen Therapeutics, Inc. 2019 Employee Stock Purchase Plan on December 31, 2020 in a transaction exempt under Rule 16b-3(c).
Twenty-five percent (25%) of the total number of shares shall be vested immediately on December 31, 2020 (the "Vesting Start Date") and 1/24th of the remaining number of shares shall vest monthly thereafter until all awarded shares are fully vested two (2) years after the Vesting Start Date.
/s/ Jerrold D. Dotson, Attorney-in-Fact
2021-01-04