UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) of the SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported): March 13, 2019
VistaGen Therapeutics, Inc.
(Exact name of registrant as specified in its charter)
| NEVADA | 001-37761 | 20-5093315 |
| (State or other jurisdiction of incorporation) | (Commission File Number) | (IRS Employer Identification Number) |
343 Allerton Ave. South San Francisco, California 94090 |
(Address of principal executive offices) |
(650) 577-3600
(Registrant’s telephone number, including area code)
Not Applicable
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a -12)
☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d -2(b))
☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e -4(c))
Item 7.01 Regulation FD Disclosure.
On March 13, 2019, VistaGen Therapeutics, Inc. (the “Company”) began utilizing a new corporate presentation. A copy of the Corporate Presentation is attached hereto as Exhibit 99.1.
The information in this Item 7.01 of this Current Report on Form 8-K, including the information set forth in Exhibit 99.1, is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), nor shall Exhibit 99.1 filed herewith be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such a filing.
Item 8.01 Other Events.
On March 13, 2019, the Company announced that the U.S. Patent and Trademark Office has issued a Notice of Allowance for U.S. Patent Application 15/812,599 related to certain methods of production for AV-101, the Company’s oral NMDA receptor glycine site antagonist in Phase 2 development for major depressive disorder. A copy of this press release is attached to this Current Report on Form 8-K as Exhibit 99.2.
Item 9.01 Financial Statements and Exhibits.
See Exhibit Index.
Signatures
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| | VistaGen Therapeutics, Inc. |
| | | |
| Date: March 14, 2019 | By: | /s/ Shawn K. Singh
|
| | | Shawn K. Singh Chief Executive Officer |
EXHIBIT INDEX
| Exhibit No. | | Description |
| | | |
| | Corporate Presentation, dated March 13, 2019 |
| | Press Release issued by VistaGen Therapeutics, Inc., dated March 13, 2019 |
