Initial Statement of Beneficial Ownership (3)
May 03 2022 - 5:08PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Adler Reid G. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/2/2022
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3. Issuer Name and Ticker or Trading Symbol
VistaGen Therapeutics, Inc. [VTGN]
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(Last)
(First)
(Middle)
C/O VISTAGEN THERAPEUTICS, INC., 343 ALLERTON AVENUE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) CHIEF LEGAL OFFICER / |
(Street)
SOUTH SAN FRANCISCO, CA 94080
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 34629 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | (1) | 6/6/2023 | Common Stock | 2500 | $8 | D | |
Stock Option (Right to Buy) | (2) | 9/19/2027 | Common Stock | 50000 | $1.56 | D | |
Stock Option (Right to Buy) | (3) | 2/2/2028 | Common Stock | 25000 | $1.16 | D | |
Stock Option (Right to Buy) | (4) | 5/23/2029 | Common Stock | 20000 | $1 | D | |
Stock Option (Right to Buy) | (5) | 10/21/2029 | Common Stock | 25000 | $1.41 | D | |
Stock Option (Right to Buy) | (6) | 4/23/2030 | Common Stock | 25000 | $0.398 | D | |
Stock Option (Right to Buy) | (7) | 7/16/2031 | Common Stock | 50000 | $2.74 | D | |
Stock Option (Right to Buy) | (8) | 3/1/2032 | Common Stock | 50000 | $1.37 | D | |
Explanation of Responses: |
(1) | Stock options are fully vested as of the date of this report. |
(2) | Stock options are fully vested as of the date of this report. |
(3) | Stock options are fully vested as of the date of this report. |
(4) | Stock options are fully vested as of the date of this report. |
(5) | Stock options are fully vested as of the date of this report. |
(6) | Stock options are fully vested as of the date of this report. |
(7) | 25% of the stock options vested on July 16, 2021 (the "Vesting Start Date") and 1/24th of the remaining number of shares vest monthly thereafter until all awarded shares are fully vested two (2) years after the Vesting Start Date. |
(8) | 25% of the stock options vested on March 1, 2022 (the "Vesting Start Date") and 1/24th of the remaining number of shares vest monthly thereafter until all awarded shares are fully vested two (2) years after the Vesting Start Date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Adler Reid G. C/O VISTAGEN THERAPEUTICS, INC. 343 ALLERTON AVENUE SOUTH SAN FRANCISCO, CA 94080 |
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| CHIEF LEGAL OFFICER |
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Signatures
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/s/ Jerrold D. Dotson, Attorney-in-Fact | | 5/3/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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