股本结构
单位:万股
| 公告日期 | 2026-08-14 | 2026-06-15 | 2026-02-12 | 2025-11-13 | 2025-11-13 | 2025-08-07 |
|---|---|---|---|---|---|---|
| 证券总股本 | 4437.69 | 4103.25 | 3962.03 | 3949.55 | 3889.10 | 3068.05 |
| 普通股本 | 4437.69 | 4103.25 | 3962.03 | 3949.55 | 3889.10 | 3068.05 |
| 优先股 | 未披露 | 未披露 | 未披露 | 未披露 | 未披露 | 未披露 |
| 其他 | 未披露 | 未披露 | 未披露 | 未披露 | 未披露 | 未披露 |
| 变动日期 | 2026-06-30 | 2026-06-12 | 2025-12-31 | 2025-11-12 | 2025-09-30 | 2025-08-04 |
注释:中概股证券总股本=普通股股本/
存托凭证比例
历史变动
| 公告日期 | 变动后普通股本(万股) | 变动后优先股(万股) | 变动原因 | 变动日期 |
|---|---|---|---|---|
| 2026-08-14 | 4437.69 | 未披露 |
更多>>
From March 31, 2026 to June 30, 2026
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
Issuance of common stock under Open Market Sale Agreement, net of issuance costs
Issuance of common stock upon exercise of Pre-Funded Warrants
|
2026-06-30 |
| 2026-06-15 | 4103.25 | 未披露 | 定期报告 | 2026-06-12 |
| 2026-02-12 | 3962.03 | 未披露 |
更多>>
From September 30, 2025 to December 31, 2025
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
Issuance of common stock under Open Market Sale Agreement, net of issuance costs
Issuance of common stock upon exercise of stock options
|
2025-12-31 |
| 2025-11-13 | 3949.55 | 未披露 | 定期报告 | 2025-11-12 |
| 2025-11-13 | 3889.10 | 未披露 |
更多>>
From June 30, 2025 to September 30, 2025
Issuance of common stock under Open Market Sale Agreement, net of issuance costs
Issuance of common stock upon exercise of stock options
|
2025-09-30 |
| 2025-08-07 | 3068.05 | 未披露 | 定期报告 | 2025-08-04 |
| 2025-07-28 | 2986.00 | 未披露 | 定期报告 | 2025-07-16 |
| 2025-08-07 | 2928.21 | 未披露 |
更多>>
From March 31, 2025 to June 30, 2025
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
Issuance of common stock under Open Market Sale Agreement, net of issuance costs
|
2025-06-30 |
| 2025-06-17 | 2915.77 | 未披露 | 定期报告 | 2025-06-10 |
| 2025-06-17 | 2899.70 | 未披露 |
更多>>
From March 31, 2024 to March 31, 2025
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
Issuance of common stock under Open Market Sale Agreement, net of issuance costs
Issuance of common stock upon exercise of Pre-Funded Warrants
|
2025-03-31 |
| 2025-02-13 | 2886.21 | 未披露 | 定期报告 | 2025-02-11 |
| 2025-02-13 | 2831.67 | 未披露 |
更多>>
From September 30, 2024 to December 31, 2024
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
Issuance of common stock upon exercise of Pre-Funded Warrants
Issuance of common stock under Open Market Sale Agreement, net of issuance costs
|
2024-12-31 |
| 2024-11-07 | 2784.35 | 未披露 | 定期报告 | 2024-11-06 |
| 2024-08-13 | 2705.51 | 未披露 |
更多>>
From March 31, 2024 to June 30, 2024
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
|
2024-06-30 |
| 2024-02-13 | 2702.52 | 未披露 |
更多>>
From September 30, 2023 to December 31,2023
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
Issuance of common stock and pre-funded warrants through public offering, net of issuance costs
|
2023-12-31 |
| 2023-11-09 | 2702.30 | 未披露 | 定期报告 | 2023-11-09 |
| 2023-10-03 | 2437.33 | 未披露 |
更多>>
Common stock offered 15,010,810 share by the company
|
2023-10-04 |
| 2023-11-09 | 1201.22 | 未披露 |
更多>>
From June 30, 2023 to September 30, 2023
Issuance of common stock upon ATM sales, net of issuance costs
|
2023-09-30 |
| 2023-08-10 | 936.24 | 未披露 | 定期报告 | 2023-08-10 |
| 2023-07-28 | 798.49 | 未披露 | 定期报告 | 2023-07-28 |
| 2023-08-10 | 787.52 | 未披露 |
更多>>
From March 31, 2023 to June 30, 2023
Issuance of common stock upon ATM purchase
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
|
2023-06-30 |
| 2023-06-28 | 787.25 | 未披露 | 定期报告 | 2023-06-27 |
| 2023-06-06 | 731.09 | 未披露 |
更多>>
Vistagen announced that it will implement a stockholder-approved reverse stock split of its outstanding shares of common stock, at a ratio of one-for-thirty unanimously approved by its Board of Directors.
|
2023-06-07 |
| 2023-03-17 | 21932.64 | 未披露 | 定期报告 | 2023-03-16 |
| 2023-02-07 | 21932.65 | 未披露 | 定期报告 | 2023-02-07 |
| 2023-02-07 | 20691.63 | 未披露 |
更多>>
From September 30, 2022 to December 31, 2022
Purchase Plan
|
2022-12-31 |
| 2022-11-10 | 20683.63 | 未披露 |
更多>>
From June 30, 2022 to September 30, 2022
Issuance of common stock upon exercise of options for cash
Issuance of common stock upon cashless exercise of options
|
2022-09-30 |
| 2022-08-11 | 20683.63 | 未披露 | 定期报告 | 2022-08-10 |
| 2022-08-11 | 20671.60 | 未披露 |
更多>>
From March 31, 2022 to June 30, 2022
Issuance of common stock upon exercise of options for cash
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
|
2022-06-30 |
| 2022-06-23 | 20664.10 | 未披露 | 定期报告 | 2022-06-09 |
| 2022-06-23 | 20654.10 | 未披露 |
更多>>
From March 31, 2021 to March 31, 2022
Comversion of Series D Preferred stock to common stock
Conversion of Series A Preferred stock to common stock
Comversion of Series B Preferred stock to common stock and payment of accrued dividends in common stock
Conversion of Series C preferred stock to common stock
Net proceeds from exercise of warrants
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
Issuance of common stock upon cashless exercise of stock options
Net proceeds from exercise of stock options for cash
Net proceeds from issuance of common stock under ATM facility
|
2022-03-31 |
| 2022-02-10 | 20652.80 | 未披露 | 定期报告 | 2022-02-09 |
| 2022-02-10 | 20650.92 | 未披露 |
更多>>
From September 30, 2021 to December 31, 2021
Conversion of Series A Preferred into common stock
Conversion of Series B Preferred into common stock, including common stock issued in payment of accrued dividends
Conversion of Series C Preferred into common stock
Proceeds from exercise of warrants
Net proceeds from issuance of common stock under ATM facility
Issuance of common stock upon exercise of options for cash
Sale of common stock pursuant to 2019 Employee Stock
|
2021-12-31 |
| 2021-11-10 | 19970.23 | 未披露 | 定期报告 | 2021-11-09 |
| 2021-11-10 | 19642.31 | 394.97 | 定期报告 | 2021-09-30 |
| 2021-08-12 | 19290.39 | 未披露 | 定期报告 | 2021-08-11 |
| 2021-07-29 | 19209.90 | 未披露 | 定期报告 | 2021-07-23 |
| 2021-08-12 | 19163.20 | 394.97 |
更多>>
From March 31, 2021 to June 30, 2021
Proceeds from exercise of warrants
Conversion of Series D Preferred stock into common stock
Purchase Plan
Issuance of common stock upon cashless exercise of options
Issuance of common stock upon exercise of options for cash
|
2021-06-30 |
| 2021-06-29 | 19138.24 | 未披露 | 定期报告 | 2021-06-28 |
| 2021-06-29 | 18075.12 | 435.18 |
更多>>
From March 31, 2020 To March 31, 2021
Net proceeds from sale of common stock under equity line
Net proceeds from sale of common stock in public offering
Net proceeds from sale of common stock and Series D Preferred stock in public offering
Net proceeds from exercise of warrants
Comversion of Series D Preferred stock to common stock
Comversion of Series B Preferred stock to common stock and payment of accrued dividends in common stock
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
Issuance of common stock upon cashless exercise of stock options
Net proceeds from exercise of stock options for cash
Issuance of common stock at fair value for professional services
|
2021-03-31 |
| 2021-03-15 | 14376.30 | 594.97 | 定期报告 | 2021-03-10 |
| 2021-02-11 | 14169.44 | 未披露 | 定期报告 | 2021-02-11 |
| 2021-01-14 | 13854.32 | 200.00 | 定期报告 | 2021-01-04 |
| 2021-02-11 | 13866.45 | 594.97 |
更多>>
From September 30, 2020 to December 31, 2020
Net proceeds from sale of common stock and Series D Preferred stock in public offering
Net proceeds from exercise of warrants
Conversion of Series B Preferred stock to common and payment of accrued dividends in common stock
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
|
2020-12-31 |
| 2020-12-22 | 13766.47 | 未披露 |
更多>>
1.Shares of Common Stock Offered by the company offering 63,000,000 shares of common stock.
2.The number of shares of common stock that are and will be outstanding immediately before and after this offering as shown above is based on 73,998,057 shares outstanding as of September 30, 2020.
|
2020-12-22 |
| 2020-12-17 | 7399.81 | 397.83 |
更多>>
From June 30, 2020 to September 30, 2020
Net proceeds from sale of common stock in public offering
Net proceeds from exercise of warrants
Net proceeds from sale of common stock under equity line
|
2020-09-30 |
| 2020-08-13 | 7399.81 | 未披露 | 定期报告 | 2020-08-13 |
| 2020-08-05 | 7175.45 | 未披露 |
更多>>
1.Common Stock Offered by the company 15,625,000 shares.
2.The number of shares of common stock that are and will be outstanding immediately before and after this offering as shown above is based on 56,129,807 shares outstanding as of August 3, 2020.
|
2020-08-05 |
| 2020-08-04 | 5612.98 | 未披露 | 定期报告 | 2020-08-03 |
| 2020-07-31 | 5615.98 | 未披露 | 定期报告 | 2020-07-30 |
| 2020-07-27 | 5602.98 | 未披露 | 定期报告 | 2020-07-24 |
| 2020-07-27 | 5590.18 | 未披露 | 定期报告 | 2020-07-20 |
| 2020-08-13 | 5593.75 | 397.83 |
更多>>
From March 31, 2020 to June 30, 2020
For cash in public offering and concurrent private placement
Net proceeds from sale of common stock under equity line
Issuance of common stock at fair value for professional services
Purchase Plan
|
2020-06-30 |
| 2020-06-29 | 5577.37 | 未披露 | 定期报告 | 2020-06-26 |
| 2020-05-11 | 4993.80 | 未披露 | 定期报告 | 2020-05-08 |
| 2020-05-11 | 4953.80 | 未披露 | 定期报告 | 2020-04-27 |
| 2020-06-29 | 4934.87 | 397.83 |
更多>>
From March 31, 2019 to March 31, 2020
Proceeds from sale of units of common stock and warrants for cash in private placements
For cash in public offering and concurrent private placement
Issuance of commitment shares and net proceeds of initial sale of common stock under equity line
Proceeds from exercise of warrants
|
2020-03-31 |
| 2020-03-31 | 4921.30 | 未披露 | 定期报告 | 2020-03-30 |
| 2020-02-13 | 4796.30 | 未披露 | 定期报告 | 2020-02-12 |
| 2020-02-13 | 4422.86 | 397.83 |
更多>>
from September 30, 2019 to December 31, 2019
Proceeds from sale of units of common stock and warrants for cash in private placement
Proceeds from exercise of warrants
|
2019-12-31 |
| 2019-11-07 | 4322.30 | 未披露 | 定期报告 | 2019-11-06 |
| 2019-11-07 | 4275.86 | 397.83 | 定期报告 | 2019-09-30 |
| 2019-08-13 | 4262.30 | 未披露 | 定期报告 | 2019-08-13 |
| 2019-08-13 | 4275.86 | 397.83 | 定期报告 | 2019-06-30 |
| 2019-06-25 | 4262.30 | 未披露 | 定期报告 | 2019-06-24 |
| 2019-06-25 | 4275.86 | 397.83 |
更多>>
from March 31, 2018 to March 31, 2019
Proceeds from sale of common stock for cash in February 2019 Public Offering, net of underwriting discount and expenses
Proceeds from sale of common stock and warrants for cash and settlement of professional services payable in private placement offerings
Proceeds from exercise of warrants
Proceeds from exercise of stock options
Fair value of common stock issued for PH94B license and PH10 option and license
Increase in fair value attributable to warrant modifications
|
2019-03-31 |
| 2019-02-12 | 3112.05 | 未披露 | 定期报告 | 2019-02-11 |
| 2019-02-12 | 3120.44 | 397.83 | 定期报告 | 2018-12-31 |
| 2018-10-29 | 3105.72 | 未披露 | 定期报告 | 2018-10-26 |
| 2018-10-29 | 2867.67 | 397.83 | 定期报告 | 2018-09-30 |
| 2018-08-14 | 2581.56 | 未披露 | 定期报告 | 2018-08-14 |
| 2018-07-27 | 2334.76 | 未披露 | 定期报告 | 2018-07-20 |
| 2018-08-14 | 2321.33 | 397.83 | 定期报告 | 2018-06-30 |
| 2018-06-26 | 2303.76 | 未披露 | 定期报告 | 2018-06-26 |
| 2018-06-26 | 2306.83 | 397.83 |
更多>>
from March 31, 2017 to March 31, 2018
Proceeds from sale of common stock and warrants for cash in September 2017 Public Offering, net of underwriting discount and expenses
Proceeds from sale of common stock and warrants for cash in December 2017 Public Offering, net of underwriting discount and expenses
Proceeds from sale of common stock and warrants for cash in private placement offerings
Proceeds from exercise of warrants
Fair value of common stock granted for services
Fair value of common stock granted in settlement of accounts payable
|
2018-03-31 |
| 2018-02-12 | 2290.26 | 未披露 | 定期报告 | 2018-02-09 |
| 2018-02-12 | 2272.35 | 397.83 |
更多>>
from March 31, 2017 to December 31, 2017
2017 Public Offering, net of underwriting discount and expenses
Private placement offerings
Fair value of common stock granted for services
Fair value of common stock granted in settlement of accounts payable
Proceeds from exercise of warrants
|
2017-12-31 |
| 2017-12-07 | 1184.90 | 未披露 | 定期报告 | 2017-12-06 |
| 2017-11-09 | 1169.90 | 未披露 | 定期报告 | 2017-11-09 |
| 2017-10-18 | 1164.90 | 未披露 | 定期报告 | 2017-10-10 |
| 2017-11-09 | 1162.90 | 397.83 | 定期报告 | 2017-09-30 |
| 2017-08-14 | 938.00 | 未披露 | 定期报告 | 2017-08-11 |
| 2017-08-04 | 935.15 | 未披露 | 定期报告 | 2017-07-17 |
| 2017-08-14 | 930.15 | 397.83 | 定期报告 | 2017-06-30 |
| 2017-06-29 | 883.87 | 397.83 |
更多>>
from March 31, 2016 to March 31, 2017
Proceeds from sale of Series B Preferred Units for cash under Series B Preferred Unit Private Placement
Series B Preferred converted to common stock automatically upon consummation of May 2016 Public Offering and voluntarily
Proceeds from sale of common stock and warrants for cash in May 2016 Public Offering
Proceeds from sale of common stock and warrants for cash in private placement offerings
Common stock issued for dividends upon conversion of Series B Preferred
Exchange of outstanding warrants for common stock and other warrant modifications
Fair value of common stock and warrants granted for services
|
2017-03-31 |
| 2017-02-13 | 858.15 | 397.83 | 定期报告 | 2016-12-31 |
| 2016-11-15 | 837.99 | 未披露 | 定期报告 | 2016-11-11 |
| 2016-11-14 | 826.95 | 397.83 | 定期报告 | 2016-09-30 |
| 2016-08-12 | 797.07 | 406.58 | 定期报告 | 2016-06-30 |
| 2016-06-24 | 797.07 | 未披露 |
更多>>
On May 19, 2016, upon the consummation of the May 2016 Public Offering, described below, an aggregate of 2,403,051 shares of Series B Preferred were automatically converted into an aggregate of 2,192,847 registered shares of our common stock and an aggregate of 210,204 shares of our unregistered common stock. Additionally, we issued an aggregate of 416,806 shares of our unregistered common stock in payment of $1,642,100 in accrued dividends, at the rate of one share of common stock for each $3.94 of accrued dividends. On June 15, 2016, pursuant to the underwriters’ exercise of their over-allotment option, an additional 44,500 shares of Series B Preferred were converted into 44,500 shares of our registered common stock.
|
2016-06-22 |
| 2016-05-12 | 771.39 | 未披露 |
更多>>
1.The number of shares of common stock to be outstanding after this Offering is based on 2,525,276 shares outstanding as of May 11, 2016
2.1,148,669 shares of common stock reserved for issuance upon conversion of the same number of shares of our 10% Series B Convertible Preferred Stock (Series B Preferred) which are not subject to automatic conversion into an equal number of shares of common stock upon completion of this Offering
3.2,318,012 shares of common stock reserved for issuance upon the exchange of Series C Convertible Preferred Stock (Series C Preferred)
|
2016-05-11 |
| 2016-05-10 | 252.53 | 未披露 | 定期报告 | 2016-05-06 |
| 2016-04-15 | 249.55 | 未披露 | 定期报告 | 2016-04-14 |
| 2016-06-24 | 248.75 | 648.11 |
更多>>
from March 31, 2015 to March 31, 2016
Proceeds from sale of Series B Preferred Units for cash under 2015 Series B Preferred Unit Private Placement
Conversion of Senior Secured and subordinate promissory notes into Series B Preferred stock, including recapture of beneficial conversion feature upon conversion
Exchange of common stock for Series B Preferred stock
Conversion of Series B Preferred stock into common stock, including common stock issued in payment of accrued dividends
Fair value of common stock, Series B Preferred stock and warrants granted for services
Exchange of common stock for Series C Preferred stock
Exchange of outstanding warrants for Series C Preferred stock
Allocated proceeds from sale of common stock Units for cash under 2014 Unit Private Placement, including beneficial conversion feature
Exchange of outstanding warrants for common stock and other warrant modifications
|
2016-03-31 |
| 2016-03-14 | 182.95 | 408.89 | 定期报告 | 2015-12-31 |
From March 31, 2026 to June 30, 2026
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
Issuance of common stock under Open Market Sale Agreement, net of issuance costs
Issuance of common stock upon exercise of Pre-Funded Warrants
From September 30, 2025 to December 31, 2025
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
Issuance of common stock under Open Market Sale Agreement, net of issuance costs
Issuance of common stock upon exercise of stock options
From June 30, 2025 to September 30, 2025
Issuance of common stock under Open Market Sale Agreement, net of issuance costs
Issuance of common stock upon exercise of stock options
From March 31, 2025 to June 30, 2025
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
Issuance of common stock under Open Market Sale Agreement, net of issuance costs
From March 31, 2024 to March 31, 2025
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
Issuance of common stock under Open Market Sale Agreement, net of issuance costs
Issuance of common stock upon exercise of Pre-Funded Warrants
From September 30, 2024 to December 31, 2024
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
Issuance of common stock upon exercise of Pre-Funded Warrants
Issuance of common stock under Open Market Sale Agreement, net of issuance costs
From March 31, 2024 to June 30, 2024
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
From September 30, 2023 to December 31,2023
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
Issuance of common stock and pre-funded warrants through public offering, net of issuance costs
Common stock offered 15,010,810 share by the company
From June 30, 2023 to September 30, 2023
Issuance of common stock upon ATM sales, net of issuance costs
From March 31, 2023 to June 30, 2023
Issuance of common stock upon ATM purchase
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
Vistagen announced that it will implement a stockholder-approved reverse stock split of its outstanding shares of common stock, at a ratio of one-for-thirty unanimously approved by its Board of Directors.
From September 30, 2022 to December 31, 2022
Purchase Plan
From June 30, 2022 to September 30, 2022
Issuance of common stock upon exercise of options for cash
Issuance of common stock upon cashless exercise of options
From March 31, 2022 to June 30, 2022
Issuance of common stock upon exercise of options for cash
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
From March 31, 2021 to March 31, 2022
Comversion of Series D Preferred stock to common stock
Conversion of Series A Preferred stock to common stock
Comversion of Series B Preferred stock to common stock and payment of accrued dividends in common stock
Conversion of Series C preferred stock to common stock
Net proceeds from exercise of warrants
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
Issuance of common stock upon cashless exercise of stock options
Net proceeds from exercise of stock options for cash
Net proceeds from issuance of common stock under ATM facility
From September 30, 2021 to December 31, 2021
Conversion of Series A Preferred into common stock
Conversion of Series B Preferred into common stock, including common stock issued in payment of accrued dividends
Conversion of Series C Preferred into common stock
Proceeds from exercise of warrants
Net proceeds from issuance of common stock under ATM facility
Issuance of common stock upon exercise of options for cash
Sale of common stock pursuant to 2019 Employee Stock
From March 31, 2021 to June 30, 2021
Proceeds from exercise of warrants
Conversion of Series D Preferred stock into common stock
Purchase Plan
Issuance of common stock upon cashless exercise of options
Issuance of common stock upon exercise of options for cash
From March 31, 2020 To March 31, 2021
Net proceeds from sale of common stock under equity line
Net proceeds from sale of common stock in public offering
Net proceeds from sale of common stock and Series D Preferred stock in public offering
Net proceeds from exercise of warrants
Comversion of Series D Preferred stock to common stock
Comversion of Series B Preferred stock to common stock and payment of accrued dividends in common stock
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
Issuance of common stock upon cashless exercise of stock options
Net proceeds from exercise of stock options for cash
Issuance of common stock at fair value for professional services
From September 30, 2020 to December 31, 2020
Net proceeds from sale of common stock and Series D Preferred stock in public offering
Net proceeds from exercise of warrants
Conversion of Series B Preferred stock to common and payment of accrued dividends in common stock
Sale of common stock pursuant to 2019 Employee Stock Purchase Plan
1.Shares of Common Stock Offered by the company offering 63,000,000 shares of common stock.
2.The number of shares of common stock that are and will be outstanding immediately before and after this offering as shown above is based on 73,998,057 shares outstanding as of September 30, 2020.
From June 30, 2020 to September 30, 2020
Net proceeds from sale of common stock in public offering
Net proceeds from exercise of warrants
Net proceeds from sale of common stock under equity line
1.Common Stock Offered by the company 15,625,000 shares.
2.The number of shares of common stock that are and will be outstanding immediately before and after this offering as shown above is based on 56,129,807 shares outstanding as of August 3, 2020.
From March 31, 2020 to June 30, 2020
For cash in public offering and concurrent private placement
Net proceeds from sale of common stock under equity line
Issuance of common stock at fair value for professional services
Purchase Plan
From March 31, 2019 to March 31, 2020
Proceeds from sale of units of common stock and warrants for cash in private placements
For cash in public offering and concurrent private placement
Issuance of commitment shares and net proceeds of initial sale of common stock under equity line
Proceeds from exercise of warrants
from September 30, 2019 to December 31, 2019
Proceeds from sale of units of common stock and warrants for cash in private placement
Proceeds from exercise of warrants
from March 31, 2018 to March 31, 2019
Proceeds from sale of common stock for cash in February 2019 Public Offering, net of underwriting discount and expenses
Proceeds from sale of common stock and warrants for cash and settlement of professional services payable in private placement offerings
Proceeds from exercise of warrants
Proceeds from exercise of stock options
Fair value of common stock issued for PH94B license and PH10 option and license
Increase in fair value attributable to warrant modifications
from March 31, 2017 to March 31, 2018
Proceeds from sale of common stock and warrants for cash in September 2017 Public Offering, net of underwriting discount and expenses
Proceeds from sale of common stock and warrants for cash in December 2017 Public Offering, net of underwriting discount and expenses
Proceeds from sale of common stock and warrants for cash in private placement offerings
Proceeds from exercise of warrants
Fair value of common stock granted for services
Fair value of common stock granted in settlement of accounts payable
from March 31, 2017 to December 31, 2017
2017 Public Offering, net of underwriting discount and expenses
Private placement offerings
Fair value of common stock granted for services
Fair value of common stock granted in settlement of accounts payable
Proceeds from exercise of warrants
from March 31, 2016 to March 31, 2017
Proceeds from sale of Series B Preferred Units for cash under Series B Preferred Unit Private Placement
Series B Preferred converted to common stock automatically upon consummation of May 2016 Public Offering and voluntarily
Proceeds from sale of common stock and warrants for cash in May 2016 Public Offering
Proceeds from sale of common stock and warrants for cash in private placement offerings
Common stock issued for dividends upon conversion of Series B Preferred
Exchange of outstanding warrants for common stock and other warrant modifications
Fair value of common stock and warrants granted for services
On May 19, 2016, upon the consummation of the May 2016 Public Offering, described below, an aggregate of 2,403,051 shares of Series B Preferred were automatically converted into an aggregate of 2,192,847 registered shares of our common stock and an aggregate of 210,204 shares of our unregistered common stock. Additionally, we issued an aggregate of 416,806 shares of our unregistered common stock in payment of $1,642,100 in accrued dividends, at the rate of one share of common stock for each $3.94 of accrued dividends. On June 15, 2016, pursuant to the underwriters’ exercise of their over-allotment option, an additional 44,500 shares of Series B Preferred were converted into 44,500 shares of our registered common stock.
1.The number of shares of common stock to be outstanding after this Offering is based on 2,525,276 shares outstanding as of May 11, 2016
2.1,148,669 shares of common stock reserved for issuance upon conversion of the same number of shares of our 10% Series B Convertible Preferred Stock (Series B Preferred) which are not subject to automatic conversion into an equal number of shares of common stock upon completion of this Offering
3.2,318,012 shares of common stock reserved for issuance upon the exchange of Series C Convertible Preferred Stock (Series C Preferred)
from March 31, 2015 to March 31, 2016
Proceeds from sale of Series B Preferred Units for cash under 2015 Series B Preferred Unit Private Placement
Conversion of Senior Secured and subordinate promissory notes into Series B Preferred stock, including recapture of beneficial conversion feature upon conversion
Exchange of common stock for Series B Preferred stock
Conversion of Series B Preferred stock into common stock, including common stock issued in payment of accrued dividends
Fair value of common stock, Series B Preferred stock and warrants granted for services
Exchange of common stock for Series C Preferred stock
Exchange of outstanding warrants for Series C Preferred stock
Allocated proceeds from sale of common stock Units for cash under 2014 Unit Private Placement, including beneficial conversion feature
Exchange of outstanding warrants for common stock and other warrant modifications