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