Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Vistagen Therapeutics, Inc.VTGN · Entity 7955 | CHIEF MEDICAL OFFICER | June 30, 2022 | July 15, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Vistagen Therapeutics, Inc.
Report date June 30, 2022 · Filed July 15, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 19,915 |
Reported balance
After 2022-06-30 transaction · row 1
1 source rowRow 1 · 2022-06-30 · Grant · Acquired 5,000 · Balance 19,915 F1: Shares purchased under the VistaGen Therapeutics, Inc. 2019 Employee Stock Purchase Plan in a transaction exempt under Rule 16b-3(c) |
Filing footnotes · ownership attribution and instrument terms
F1: Shares purchased under the VistaGen Therapeutics, Inc. 2019 Employee Stock Purchase Plan in a transaction exempt under Rule 16b-3(c)
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 30, 2022 Filed Jul 15, 2022 20:30 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantCommon Stock | 5,000 | $0.75 | $3,740.00 |
DisclosureSEC source: 0001415889-22-007687 · form4-07152022_040709.xml · nonDerivative · entry 1 Smith Mark Alan · CIK 0001677452 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,915 F1 · kind: Shares purchased under the VistaGen Therapeutics, Inc. 2019 Employee Stock Purchase Plan in a transaction exempt under Rule 16b-3(c) Read SEC document |
| March 01, 2022 Filed Mar 3, 2022 21:16 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 150,000 | $0.00 Strike: $1.37 | $0.00 |
DisclosureSEC source: 0001415889-22-002297 · form4-03032022_010306.xml · derivative · entry 1 Smith Mark Alan · CIK 0001677452 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2032-03-01 F1 · derivative.exercise_date: Represents stock options granted pursuant to the Issuer's Amended and Restated 2019 Omnibus Equity Incentive Plan. Twenty-five percent (25%) of the total number of shares vest immediately on March 1, 2022 (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. Read SEC document |
| December 31, 2021 Filed Jan 3, 2022 21:25 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantCommon Stock | 2,655 | $1.66 | $4,400.66 |
DisclosureSEC source: 0001415889-22-000046 · form4-01032022_010104.xml · nonDerivative · entry 1 Smith Mark Alan · CIK 0001677452 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,915 F1 · shares: Shares purchased under the VistaGen Therapeutics, Inc. 2019 Employee Stock Purchase Plan in a transaction exempt under Rule 16b-3(c) Read SEC document |
| June 30, 2021 Filed Jul 2, 2021 20:11 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantCommon Stock | 2,260 | $1.95 | $4,399.09 |
DisclosureSEC source: 0001415889-21-003388 · form4-07022021_040710.xml · nonDerivative · entry 1 Smith Mark Alan · CIK 0001677452 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,260 F1 · shares: Shares purchased under the Vistagen Therapeutics, Inc. 2019 Employee Stock Purchase Plan on June 30, 2021 in a transaction exempt under Rule 16b-3(c). Read SEC document |
| December 31, 2020 Filed Jan 4, 2021 21:55 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantCommon Stock | 5,000 | $0.45 | $2,260.50 |
DisclosureSEC source: 0001415889-21-000016 · form4-01042021_010147.xml · nonDerivative · entry 1 Smith Mark Alan · CIK 0001677452 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 F1 · shares: 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). Read SEC document |
| December 30, 2020 Filed Jan 4, 2021 21:55 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 150,000 | $0.00 Strike: $1.77 | $0.00 |
DisclosureSEC source: 0001415889-21-000016 · form4-01042021_010147.xml · derivative · entry 2 Smith Mark Alan · CIK 0001677452 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2030-12-30 F2 · derivative.exercise_date: 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. Read SEC document |
| June 30, 2020 Filed Jul 1, 2020 21:33 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantCommon Stock | 5,000 | $0.45 | $2,240.00 |
DisclosureSEC source: 0001415889-20-001766 · form4-07012020_020750.xml · nonDerivative · entry 1 Smith Mark Alan · CIK 0001677452 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 F1 · shares: Shares purchased under the Vistagen Therapeutics, Inc. 2019 Employee Stock Purchase Plan ("ESPP") on June 30, 2020. Read SEC document |
| April 23, 2020 Filed Apr 27, 2020 21:10 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 150,000 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC source: 0001415889-20-001066 · form4-04272020_050436.xml · derivative · entry 1 Smith Mark Alan · CIK 0001677452 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2030-04-23 F1 · derivative.exercise_date: Twenty-five percent (25%) of the total number of shares shall be vested immediately on April 23, 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. Read SEC document |
| October 21, 2019 Filed Oct 22, 2019 21:01 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $1.41 | $0.00 |
DisclosureSEC source: 0001415889-19-001213 · form4-10222019_051024.xml · derivative · entry 1 Smith Mark Alan · CIK 0001677452 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2029-10-21 F1 · derivative.exercise_date: 25% of the Shares subject to the Option shall vest on date of grant October 21, 2019, and 1/24th of the remaining Shares subject to the Option shall vest on each monthly anniversary of the grant date thereafter. Read SEC document |
| May 23, 2019 Filed May 28, 2019 20:12 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 150,000 | $0.00 Strike: $1.00 | $0.00 |
DisclosureSEC source: 0001415889-19-000587 · form4-05282019_010500.xml · derivative · entry 1 Smith Mark Alan · CIK 0001677452 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2029-05-23 F1 · derivative.exercise_date: 25% of the Shares subject to the Option reported herein shall vest on Vesting Start Date May 23, 2019, and 1/36th of the remaining Shares subject to the Option shall vest on each monthly anniversary of the Vesting Start Date thereafter. Read SEC document |
| August 29, 2018 Filed Aug 31, 2018 21:21 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 125,000 | $0.00 Strike: $1.50 | $0.00 |
DisclosureSEC source: 0001415889-18-001315 · form4-08312018_020812.xml · derivative · entry 6 Smith Mark Alan · CIK 0001677452 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires 2027-04-26 F6 · derivative.exercise_date: The option vests monthly over a period of three years commencing 4/26/2017. Read SEC document |
| August 29, 2018 Filed Aug 31, 2018 21:21 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | Disposition to issuerStock Option (Right to Buy) · Derivative | 125,000 | $0.00 Strike: $1.96 | $0.00 |
DisclosureSEC source: 0001415889-18-001315 · form4-08312018_020812.xml · derivative · entry 5 Smith Mark Alan · CIK 0001677452 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 125,000 shares Expires 2027-04-26 F5 · shares: The reporting person agreed to cancellation of an option granted to him on 4/26/2017 in exchange for a new option having a lower exercise price. F6 · derivative.exercise_date: The option vests monthly over a period of three years commencing 4/26/2017. Read SEC document |
| August 29, 2018 Filed Aug 31, 2018 21:21 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 80,000 | $0.00 Strike: $1.50 | $0.00 |
DisclosureSEC source: 0001415889-18-001315 · form4-08312018_020812.xml · derivative · entry 4 Smith Mark Alan · CIK 0001677452 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 shares Expires 2026-11-09 F4 · derivative.exercise_date: The option vests monthly over a period of three years commencing 11/9/2016. Read SEC document |
| August 29, 2018 Filed Aug 31, 2018 21:21 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | Disposition to issuerStock Option (Right to Buy) · Derivative | 80,000 | $0.00 Strike: $3.80 | $0.00 |
DisclosureSEC source: 0001415889-18-001315 · form4-08312018_020812.xml · derivative · entry 3 Smith Mark Alan · CIK 0001677452 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 80,000 shares Expires 2026-11-09 F3 · shares: The reporting person agreed to cancellation of an option granted to him on 11/9/2016 in exchange for a new option having a lower exercise price. F4 · derivative.exercise_date: The option vests monthly over a period of three years commencing 11/9/2016. Read SEC document |
| August 29, 2018 Filed Aug 31, 2018 21:21 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 180,000 | $0.00 Strike: $1.50 | $0.00 |
DisclosureSEC source: 0001415889-18-001315 · form4-08312018_020812.xml · derivative · entry 2 Smith Mark Alan · CIK 0001677452 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,000 Underlying: Common Stock · 180,000 shares Expires 2026-06-19 F2 · derivative.exercise_date: The option vests monthly over a period of four years commencing 6/19/2016. Read SEC document |
| August 29, 2018 Filed Aug 31, 2018 21:21 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | Disposition to issuerStock Option (Right to Buy) · Derivative | 180,000 | $0.00 Strike: $3.49 | $0.00 |
DisclosureSEC source: 0001415889-18-001315 · form4-08312018_020812.xml · derivative · entry 1 Smith Mark Alan · CIK 0001677452 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 180,000 shares Expires 2026-06-19 F1 · shares: The reporting person agreed to cancellation of an option granted to him on 6/19/2016 in exchange for a new option having a lower exercise price. F2 · derivative.exercise_date: The option vests monthly over a period of four years commencing 6/19/2016. Read SEC document |
| August 05, 2018 Filed Aug 6, 2018 20:54 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $1.27 | $0.00 |
DisclosureSEC source: 0001415889-18-001227 · form4-08062018_010818.xml · derivative · entry 1 Smith Mark Alan · CIK 0001677452 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2028-08-05 F1 · derivative.exercise_date: 25% of the Shares subject to the Option shall vest on Vesting Start Date August 5, 2018, and 1/24th of the remaining Shares subject to the Option shall vest on each monthly anniversary of the Vesting Start Date thereafter. Read SEC document |
| February 02, 2018 Filed Feb 5, 2018 21:55 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 200,000 | $0.00 Strike: $1.16 | $0.00 |
DisclosureSEC source: 0001415889-18-000188 · form4-02052018_010240.xml · derivative · entry 1 Smith Mark Alan · CIK 0001677452 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2028-02-02 F1 · derivative.exercise_date: 25% of the Shares subject to the Option shall vest on date of grant February 2, 2018, and 1/24th of the remaining Shares subject to the Option shall vest on each monthly anniversary of the grant date thereafter. Read SEC document |
| September 19, 2017 Filed Sep 20, 2017 20:32 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $1.56 | $0.00 |
DisclosureSEC source: 0001415889-17-001520 · form4-09202017_010935.xml · derivative · entry 1 Smith Mark Alan · CIK 0001677452 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2027-09-19 F1 · derivative.exercise_date: 1/3rd of the total number of shares shall be immediately vested upon the Vesting Start Date, 9/19/2017, and 1/24th of the remaining number of shares shall vest monthly thereafter until all awarded shares are fully vested two (2) years from the Vesting Start Date. Read SEC document |
| April 26, 2017 Filed Apr 28, 2017 19:32 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 125,000 | $0.00 Strike: $1.96 | $0.00 |
DisclosureSEC source: 0001415889-17-000681 · form4-04282017_120426.xml · derivative · entry 1 Smith Mark Alan · CIK 0001677452 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires 2027-04-26 F1 · derivative.exercise_date: One third (1/3rd) of the total shares shall vest one (1) year following the date of grant and 1/24th of the remaining number of shares shall vest monthly thereafter until all awarded shares are fully vested three (3) years from the date of grant. Read SEC document |
| November 09, 2016 Filed Nov 11, 2016 01:30 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 80,000 | $0.00 Strike: $3.80 | $0.00 |
DisclosureSEC source: 0001415889-16-007388 · form4-11102016_081124.xml · derivative · entry 1 Smith Mark Alan · CIK 0001677452 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 shares Expires 2026-11-09 F1 · derivative.exercise_date: Options vest monthly over a period of three years commencing November 9, 2016. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.