Filing Details
- Accession Number:
- 0001415889-17-000882
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-06-01 16:56:06
- Reporting Period:
- 2017-05-31
- Filing Date:
- 2017-06-01
- Accepted Time:
- 2017-06-01 16:56:06
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1411685 | Vistagen Therapeutics Inc. | VTGN | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 901014 | B Jerry Gin | C/O Vistagen Therapeutics, Inc. 343 Allerton Avenue South San Francisco CA 94080 | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2017-05-31 | 50,000 | $0.00 | 50,000 | No | 4 | P | Indirect | By Jermax, LLC |
| Common Stock | Acquisiton | 2017-05-31 | 50,000 | $0.00 | 100,000 | No | 4 | P | Indirect | By Spouse |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Jermax, LLC |
| No | 4 | P | Indirect | By Spouse |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant | Acquisiton | 2017-05-31 | 25,000 | $0.00 | 25,000 | $4.00 |
| Common Stock | Warrant | Acquisiton | 2017-05-31 | 25,000 | $0.00 | 25,000 | $4.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 25,000 | 2017-12-01 | 2021-04-30 | No | 4 | P | Indirect |
| 50,000 | 2017-12-01 | 2021-04-30 | No | 4 | P | Indirect |
Footnotes
- 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.
- Jermax, LLC is wholly owned and controlled by the Reporting Person.
- 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.
- Shares are held by Pegmax, LLC, which is wholly owned and controlled by the Reporting Person's spouse, Margaret P. Gin.
Billionaire Hedge Funds
