Filing Details
- Accession Number:
- 0001209191-22-042152
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-07-14 17:33:58
- Reporting Period:
- 2022-07-12
- Accepted Time:
- 2022-07-14 17:33:58
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1411685 | Vistagen Therapeutics Inc. | VTGN | Pharmaceutical Preparations (2834) | 205093315 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1602263 | Vhcp Management Ii, Llc | C/O Venrock 3340 Hillview Avenue Palo Alto CA 94304 | No | No | Yes | No | |
| 1602264 | Venrock Healthcare Capital Partners Ii, L.p. | C/O Venrock 3340 Hillview Avenue Palo Alto CA 94304 | No | No | Yes | No | |
| 1615979 | Y Bong Koh | C/O Venrock 3340 Hillview Avenue Palo Alto CA 94304 | No | No | Yes | No | |
| 1615983 | Vhcp Co-Investment Holdings Ii, Llc | C/O Venrock 3340 Hillview Avenue Palo Alto CA 94304 | No | No | Yes | No | |
| 1698082 | P Nimish Shah | C/O Venrock 3340 Hillview Avenue Palo Alto CA 94304 | No | No | Yes | No | |
| 1738048 | Venrock Healthcare Capital Partners Iii, L.p. | C/O Venrock 3340 Hillview Avenue Palo Alto CA 94304 | No | No | Yes | No | |
| 1738053 | Vhcp Management Iii, Llc | C/O Venrock 3340 Hillview Avenue Palo Alto CA 94304 | No | No | Yes | No | |
| 1750761 | Vhcp Co-Investment Holdings Iii, Llc | C/O Venrock 3340 Hillview Avenue Palo Alto CA 94304 | No | No | Yes | No | |
| 1808512 | Venrock Healthcare Capital Partners Eg, L.p. | C/O Venrock 3340 Hillview Avenue Palo Alto CA 94304 | No | No | Yes | No | |
| 1808518 | Vhcp Management Eg, Llc | C/O Venrock 3340 Hillview Avenue Palo Alto CA 94304 | No | No | Yes | 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 | Disposition | 2022-07-12 | 60,000 | $0.89 | 20,637,286 | No | 4 | S | Indirect | By Funds |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By Funds |
Footnotes
- Consists of 14,348 shares sold by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"), 5,814 shares sold by VHCP Co-Investment Holdings II, LLC ("VHCP II Co"), 4,688 shares sold by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), 469 shares sold by VHCP Co-Investment Holdings III, LLC ("VHCP III Co") and 34,681 shares sold by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG").
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.86 to $0.91, 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 sold at each separate price within the ranges set forth in this footnote.
- Consists of 4,935,020 shares held by VHCP II, 1,999,971 shares held by VHCP II Co, 1,612,582 shares held by VHCP III, 161,351 shares held by VHCP III Co and 11,928,362 shares held by VHCP EG.
- VHCP Management II, LLC ("VHCPM II") is the sole general partner of VHCP II and the sole manager of VHCP II Co. VHCP Management III, LLC ("VHCPM III") is the sole general partner of VHCP III and the sole manager of VHCP III Co. VHCP Management EG, LLC ("VHCPM EG") is the sole general partner of VHCP EG. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM II, VHCPM III and VHCPM EG. Dr. Koh, Mr. Shah, VHCPM II, VHCPM III and VHCPM EG disclaim beneficial ownership over all shares held by VHCP II, VHCP II Co, VHCP III, VHCP III Co and VHCP EG, except to the extent of their respective indirect pecuniary interests therein.
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