Venrock Healthcare Capital Partners II, L.P. - Jul 12, 2022 Form 4 Insider Report for VistaGen Therapeutics, Inc. (VTGN)

Role
10%+ Owner
Signature
/s/ David L. Stepp, Authorized Signatory
Stock symbol
VTGN
Transactions as of
Jul 12, 2022
Transactions value $
-$53,400
Form type
4
Date filed
7/14/2022, 05:33 PM
Previous filing
Jul 6, 2022
Next filing
Jul 20, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction VTGN Common Stock Sale -$53.4K -60K -0.29% $0.89* 20.6M Jul 12, 2022 By Funds F1, F2, F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Venrock Healthcare Capital Partners II, L.P. is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 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").
F2 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.
F3 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.
F4 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.