Joshua S. Prince - 24 Oct 2023 Form 3 Insider Report for Vistagen Therapeutics, Inc. (VTGN)

Role
Chief Operating Officer
Signature
/s/ Joshua S. Prince
Issuer symbol
VTGN
Transactions as of
24 Oct 2023
Net transactions value
$0
Form type
3
Filing time
03 Nov 2023, 20:14:12 UTC
Next filing
26 Jun 2024
SEC
View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding VTGN Stock Options (Right to buy) 24 Oct 2023 Common Stock 5,000 $64.50 Direct F1
holding VTGN Stock Options (Right to buy) 24 Oct 2023 Common Stock 3,334 $41.10 Direct F2
holding VTGN Stock Options (Right to buy) 24 Oct 2023 Common Stock 5,001 $4.44 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 25% of the stock options vested on November 15, 2022, with the remainder vesting 1/36th monthly thereafter over a period of three (3) years.
F2 25% of the stock options vested on March 1, 2022, with the remainder vesting 1/24th monthly thereafter over a period of two (2) years.
F3 25% of the stock options will vest on November 16, 2023, with the remainder vesting 1/36th monthly thereafter over a period of three (3) years.