0001415889-21-000020.txt : 20210104 0001415889-21-000020.hdr.sgml : 20210104 20210104165840 ACCESSION NUMBER: 0001415889-21-000020 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: Singh Shawn CENTRAL INDEX KEY: 0001412071 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37761 FILM NUMBER: 21502506 MAIL ADDRESS: STREET 1: C/O VISTAGEN THERAPEUTICS, INC. STREET 2: 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_010131.xml X0306 4 2020-12-30 0001411685 VistaGen Therapeutics, Inc. VTGN 0001412071 Singh Shawn C/O VISTAGEN THERAPEUTICS, INC. 343 ALLERTON AVENUE SOUTH SAN FRANCISCO CA 94080 true true false false CHIEF EXECUTIVE OFFICER Common Stock 2020-12-31 4 A 0 5000 0.4521 A 35375 D Common Stock 26234 I By The 1997 Singh Family Trust U/R/D 05/29/97 Stock Option (Right to Buy) 1.77 2020-12-30 4 A 0 300000 0 A 2030-12-30 Common Stock 300000 300000 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