Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Vistagen Therapeutics, Inc.VTGN · Entity 7955 | Director | September 06, 2024 | September 10, 2024 |
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 September 06, 2024 · Filed September 10, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.25 · Expires 2034-09-06 | Direct | 14,100 |
Reported balance
After 2024-09-06 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-09-06 · Grant · Acquired 14,100 · Balance 14,100 F1: Represents stock options ("Options") granted pursuant to the Issuer's Amended and Restated 2019 Omnibus Equity Incentive Plan, as amended. Twenty-five percent (25%) of the Options vest on the date of issuance ("Grant Date"), with the remainder vesting in twelve (12) equal monthly installments thereafter, until the Options become fully vested on the one (1) year anniversary of the Grant Date. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents stock options ("Options") granted pursuant to the Issuer's Amended and Restated 2019 Omnibus Equity Incentive Plan, as amended. Twenty-five percent (25%) of the Options vest on the date of issuance ("Grant Date"), with the remainder vesting in twelve (12) equal monthly installments thereafter, until the Options become fully vested on the one (1) year anniversary of the Grant Date.
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 |
|---|---|---|---|---|---|---|
| September 06, 2024 Filed Sep 10, 2024 17:00 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 14,100 | $0.00 Strike: $3.25 | $0.00 |
DisclosureSEC source: 0001415889-24-023148 · form4-09102024_050909.xml · derivative · entry 1 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,100 Underlying: Common Stock · 14,100 shares Expires 2034-09-06 F1 · derivative.exercise_date: Represents stock options ("Options") granted pursuant to the Issuer's Amended and Restated 2019 Omnibus Equity Incentive Plan, as amended. Twenty-five percent (25%) of the Options vest on the date of issuance ("Grant Date"), with the remainder vesting in twelve (12) equal monthly installments thereafter, until the Options become fully vested on the one (1) year anniversary of the Grant Date. Read SEC document |
| March 04, 2024 Filed Mar 6, 2024 18:00 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 12,500 | $0.00 Strike: $4.85 | $0.00 |
DisclosureSEC source: 0001415889-24-007098 · form4-03062024_060314.xml · derivative · entry 1 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2034-03-04 F1 · derivative.exercise_date: Represents stock options granted pursuant to the Issuer's Amended and Restated 2019 Omnibus Equity Incentive Plan, as amended, which vest in twelve equal monthly installments, beginning on the date of the grant. Read SEC document |
| August 18, 2022 Filed Aug 22, 2022 17:12 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | PurchaseCommon Stock | 100,000 | $0.18 | $17,870.00 |
DisclosureSEC source: 0001415889-22-008937 · form4-08222022_020840.xml · nonDerivative · entry 2 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 100,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.1772 to $0.1805, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4. Read SEC document |
| August 18, 2022 Filed Aug 22, 2022 17:12 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | PurchaseCommon Stock | 100,000 | $0.18 | $17,870.00 |
DisclosureSEC source: 0001415889-22-008937 · form4-08222022_020840.xml · nonDerivative · entry 1 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.1772 to $0.1805, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4. Read SEC document |
| March 01, 2022 Filed Mar 3, 2022 16:13 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $1.37 | $0.00 |
DisclosureSEC source: 0001415889-22-002292 · form4-03032022_010333.xml · derivative · entry 1 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 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, which vest in twelve equal monthly installments, beginning on the date of the grant. Read SEC document |
| December 30, 2020 Filed Jan 4, 2021 16:47 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $1.77 | $0.00 |
DisclosureSEC source: 0001415889-21-000005 · form4-01042021_010145.xml · derivative · entry 1 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2030-12-30 F1 · 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 |
| April 23, 2020 Filed Apr 27, 2020 17:10 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC source: 0001415889-20-001061 · form4-04272020_050406.xml · derivative · entry 1 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 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 17:00 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $1.41 | $0.00 |
DisclosureSEC source: 0001415889-19-001208 · form4-10222019_051020.xml · derivative · entry 1 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 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 16:18 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $1.00 | $0.00 |
DisclosureSEC source: 0001415889-19-000595 · form4-05282019_010545.xml · derivative · entry 1 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 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 17:24 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $1.50 | $0.00 |
DisclosureSEC source: 0001415889-18-001318 · form4-08312018_020832.xml · derivative · entry 8 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2026-11-09 F7 · 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 17:24 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | Disposition to issuerStock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $1.96 | $0.00 |
DisclosureSEC source: 0001415889-18-001318 · form4-08312018_020832.xml · derivative · entry 7 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 35,000 shares Expires 2026-11-09 F6 · 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. F7 · 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 17:24 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $1.50 | $0.00 |
DisclosureSEC source: 0001415889-18-001318 · form4-08312018_020832.xml · derivative · entry 6 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2026-11-09 F5 · 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 17:24 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | Disposition to issuerStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $3.80 | $0.00 |
DisclosureSEC source: 0001415889-18-001318 · form4-08312018_020832.xml · derivative · entry 5 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2026-11-09 F4 · 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. F5 · 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 17:24 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $1.50 | $0.00 |
DisclosureSEC source: 0001415889-18-001318 · form4-08312018_020832.xml · derivative · entry 4 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2026-06-19 F3 · 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 17:24 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | Disposition to issuerStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $3.49 | $0.00 |
DisclosureSEC source: 0001415889-18-001318 · form4-08312018_020832.xml · derivative · entry 3 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2026-06-19 F2 · 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. F3 · 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 17:24 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $1.50 | $0.00 |
DisclosureSEC source: 0001415889-18-001318 · form4-08312018_020832.xml · derivative · entry 2 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2026-03-30 Read SEC document |
| August 29, 2018 Filed Aug 31, 2018 17:24 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | Disposition to issuerStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $8.00 | $0.00 |
DisclosureSEC source: 0001415889-18-001318 · form4-08312018_020832.xml · derivative · entry 1 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2026-03-30 F1 · shares: The reporting person agreed to cancellation of an option granted to him on 3/30/2016 in exchange for a new option having a lower exercise price. Read SEC document |
| August 05, 2018 Filed Aug 6, 2018 17:00 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $1.27 | $0.00 |
DisclosureSEC source: 0001415889-18-001230 · form4-08062018_020813.xml · derivative · entry 1 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 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 16:53 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $1.16 | $0.00 |
DisclosureSEC source: 0001415889-18-000183 · form4-02052018_010200.xml · derivative · entry 1 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 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 16:35 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $1.56 | $0.00 |
DisclosureSEC source: 0001415889-17-001524 · form4-09202017_010957.xml · derivative · entry 1 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 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 |
| September 19, 2017 Filed Oct 6, 2017 17:30 UTC Amendment | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $1.56 | $0.00 |
DisclosureSEC source: 0001415889-17-001635 · form4a-10062017_021041.xml · derivative · entry 1 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 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 |
| September 15, 2017 Filed Oct 6, 2017 17:30 UTC Amendment | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantWarrants · Derivative | 25,000 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001415889-17-001635 · form4a-10062017_021041.xml · derivative · entry 7 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2021-04-30 F2 · price: This Amendment to the Form 4 originally filed by the Reporting Person on September 20, 2017 (the "Original Filing") is being filed to report (i) the reduction of the exercise price of warrants purchased by Jermax, LLC, an entity controlled by the Reporting Person ("Jermax"), and the Reporting Person's spouse from the Issuer on May 31, 2017 in a private placement transaction (the "Initial Warrants") and (ii) the issuance of additional warrants to Jermax and the Reporting Person's spouse (the "Additional Warrants"). The Issuer's Board of Directors approved the reduction of the exercise price from $4.00 per share to $2.00 per share for the Initial Warrants and all other warrants issued in the same private placement (the "Spring 2017 Private Placement"), and the issuance of the Additional Warrants and warrants similar to the Additional Warrants for all other participants in the Spring 2017 Private Placement. Read SEC document |
| September 15, 2017 Filed Oct 6, 2017 17:30 UTC Amendment | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantWarrant · Derivative | 25,000 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001415889-17-001635 · form4a-10062017_021041.xml · derivative · entry 6 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Jermax, LLC Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2021-04-30 F2 · price: This Amendment to the Form 4 originally filed by the Reporting Person on September 20, 2017 (the "Original Filing") is being filed to report (i) the reduction of the exercise price of warrants purchased by Jermax, LLC, an entity controlled by the Reporting Person ("Jermax"), and the Reporting Person's spouse from the Issuer on May 31, 2017 in a private placement transaction (the "Initial Warrants") and (ii) the issuance of additional warrants to Jermax and the Reporting Person's spouse (the "Additional Warrants"). The Issuer's Board of Directors approved the reduction of the exercise price from $4.00 per share to $2.00 per share for the Initial Warrants and all other warrants issued in the same private placement (the "Spring 2017 Private Placement"), and the issuance of the Additional Warrants and warrants similar to the Additional Warrants for all other participants in the Spring 2017 Private Placement. Read SEC document |
| September 15, 2017 Filed Oct 6, 2017 17:30 UTC Amendment | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantWarrant · Derivative | 25,000 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001415889-17-001635 · form4a-10062017_021041.xml · derivative · entry 5 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2021-04-30 F2 · price: This Amendment to the Form 4 originally filed by the Reporting Person on September 20, 2017 (the "Original Filing") is being filed to report (i) the reduction of the exercise price of warrants purchased by Jermax, LLC, an entity controlled by the Reporting Person ("Jermax"), and the Reporting Person's spouse from the Issuer on May 31, 2017 in a private placement transaction (the "Initial Warrants") and (ii) the issuance of additional warrants to Jermax and the Reporting Person's spouse (the "Additional Warrants"). The Issuer's Board of Directors approved the reduction of the exercise price from $4.00 per share to $2.00 per share for the Initial Warrants and all other warrants issued in the same private placement (the "Spring 2017 Private Placement"), and the issuance of the Additional Warrants and warrants similar to the Additional Warrants for all other participants in the Spring 2017 Private Placement. Read SEC document |
| September 15, 2017 Filed Oct 6, 2017 17:30 UTC Amendment | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantWarrant · Derivative | 25,000 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001415889-17-001635 · form4a-10062017_021041.xml · derivative · entry 4 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Jermax, LLC Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2021-04-30 F2 · price: This Amendment to the Form 4 originally filed by the Reporting Person on September 20, 2017 (the "Original Filing") is being filed to report (i) the reduction of the exercise price of warrants purchased by Jermax, LLC, an entity controlled by the Reporting Person ("Jermax"), and the Reporting Person's spouse from the Issuer on May 31, 2017 in a private placement transaction (the "Initial Warrants") and (ii) the issuance of additional warrants to Jermax and the Reporting Person's spouse (the "Additional Warrants"). The Issuer's Board of Directors approved the reduction of the exercise price from $4.00 per share to $2.00 per share for the Initial Warrants and all other warrants issued in the same private placement (the "Spring 2017 Private Placement"), and the issuance of the Additional Warrants and warrants similar to the Additional Warrants for all other participants in the Spring 2017 Private Placement. Read SEC document |
| September 15, 2017 Filed Oct 6, 2017 17:30 UTC Amendment | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | Disposition to issuerWarrant · Derivative | 25,000 | $0.00 Strike: $4.00 | $0.00 |
DisclosureSEC source: 0001415889-17-001635 · form4a-10062017_021041.xml · derivative · entry 3 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2021-04-30 F2 · price: This Amendment to the Form 4 originally filed by the Reporting Person on September 20, 2017 (the "Original Filing") is being filed to report (i) the reduction of the exercise price of warrants purchased by Jermax, LLC, an entity controlled by the Reporting Person ("Jermax"), and the Reporting Person's spouse from the Issuer on May 31, 2017 in a private placement transaction (the "Initial Warrants") and (ii) the issuance of additional warrants to Jermax and the Reporting Person's spouse (the "Additional Warrants"). The Issuer's Board of Directors approved the reduction of the exercise price from $4.00 per share to $2.00 per share for the Initial Warrants and all other warrants issued in the same private placement (the "Spring 2017 Private Placement"), and the issuance of the Additional Warrants and warrants similar to the Additional Warrants for all other participants in the Spring 2017 Private Placement. Read SEC document |
| September 15, 2017 Filed Oct 6, 2017 17:30 UTC Amendment | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | Disposition to issuerWarrant · Derivative | 25,000 | $0.00 Strike: $4.00 | $0.00 |
DisclosureSEC source: 0001415889-17-001635 · form4a-10062017_021041.xml · derivative · entry 2 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Jermax, LLC Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2021-04-30 F2 · price: This Amendment to the Form 4 originally filed by the Reporting Person on September 20, 2017 (the "Original Filing") is being filed to report (i) the reduction of the exercise price of warrants purchased by Jermax, LLC, an entity controlled by the Reporting Person ("Jermax"), and the Reporting Person's spouse from the Issuer on May 31, 2017 in a private placement transaction (the "Initial Warrants") and (ii) the issuance of additional warrants to Jermax and the Reporting Person's spouse (the "Additional Warrants"). The Issuer's Board of Directors approved the reduction of the exercise price from $4.00 per share to $2.00 per share for the Initial Warrants and all other warrants issued in the same private placement (the "Spring 2017 Private Placement"), and the issuance of the Additional Warrants and warrants similar to the Additional Warrants for all other participants in the Spring 2017 Private Placement. Read SEC document |
| May 31, 2017 Filed Jun 1, 2017 16:56 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | PurchaseWarrant · Derivative | 25,000 | $0.00 Strike: $4.00 | $0.00 |
DisclosureSEC source: 0001415889-17-000882 · form4-06012017_010655.xml · derivative · entry 4 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 50,000 Underlying: Common Stock · 25,000 shares Expires 2021-04-30 F3 · security: Reporting Person's spouse purchased fifty thousand (50,000) Units, at a per-Unit cost of two dollars ($2.00), in the Issuer's private placement, each Unit consisting of one (1) share of unregistsered Common Stock and a warrant to purchase one-half (0.5) share of unregistered Common Stock at an exercise price of $4.00 per share. F4 · ownership.nature: Shares are held by Pegmax, LLC, which is wholly owned and controlled by the Reporting Person's spouse, Margaret P. Gin. Read SEC document |
| May 31, 2017 Filed Jun 1, 2017 16:56 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | PurchaseWarrant · Derivative | 25,000 | $0.00 Strike: $4.00 | $0.00 |
DisclosureSEC source: 0001415889-17-000882 · form4-06012017_010655.xml · derivative · entry 3 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Jermax, LLC Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2021-04-30 F1 · security: Reporting Person purchased fifty thousand (50,000) Units, at a per-Unit cost of two dollars ($2.00), in the Issuer's private placement, each Unit consisting of one (1) share of unregistsered Common Stock and a warrant to purchase one-half (0.5) share of unregistered Common Stock at an exercise price of $4.00 per share. F2 · ownership.nature: Jermax, LLC is wholly owned and controlled by the Reporting Person. Read SEC document |
| May 31, 2017 Filed Jun 1, 2017 16:56 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | PurchaseCommon Stock | 50,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-17-000882 · form4-06012017_010655.xml · nonDerivative · entry 2 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 100,000 F3 · price: Reporting Person's spouse purchased fifty thousand (50,000) Units, at a per-Unit cost of two dollars ($2.00), in the Issuer's private placement, each Unit consisting of one (1) share of unregistsered Common Stock and a warrant to purchase one-half (0.5) share of unregistered Common Stock at an exercise price of $4.00 per share. F4 · ownership.nature: Shares are held by Pegmax, LLC, which is wholly owned and controlled by the Reporting Person's spouse, Margaret P. Gin. Read SEC document |
| May 31, 2017 Filed Jun 1, 2017 16:56 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | PurchaseCommon Stock | 50,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-17-000882 · form4-06012017_010655.xml · nonDerivative · entry 1 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Jermax, LLC Disclosed balance after: 50,000 F1 · price: Reporting Person purchased fifty thousand (50,000) Units, at a per-Unit cost of two dollars ($2.00), in the Issuer's private placement, each Unit consisting of one (1) share of unregistsered Common Stock and a warrant to purchase one-half (0.5) share of unregistered Common Stock at an exercise price of $4.00 per share. F2 · ownership.nature: Jermax, LLC is wholly owned and controlled by the Reporting Person. Read SEC document |
| April 26, 2017 Filed Apr 28, 2017 15:30 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $1.96 | $0.00 |
DisclosureSEC source: 0001415889-17-000678 · form4-04282017_120446.xml · derivative · entry 1 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 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 10, 2016 20:30 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $3.80 | $0.00 |
DisclosureSEC source: 0001415889-16-007384 · form4-11102016_081106.xml · derivative · entry 1 GIN JERRY B · CIK 0000901014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 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.