Blueprint
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) November 14, 2016
VistaGen
Therapeutics, Inc
(Exact
name of registrant as specified in its charter)
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Nevada
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000-54014
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20-5093315
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(State
or other jurisdiction
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(Commission
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(I.R.S.
Employer
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of
incorporation)
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File
Number)
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Identification
No.)
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343
Allerton Ave.
South
San Francisco, California 94090
(Address of
principal executive offices) (Zip Code)
(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 (see General Instruction A.2.
below):
☐
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
2.02
Results
of Operations and Financial Condition.
On
November 14, 2016, VistaGen Therapeutics Inc. issued a press
release announcing, among other things, its financial results for
its fiscal second quarter ended September 30, 2016 (the
“Earnings
Release”). The full text of the Earnings Release is
attached hereto as Exhibit 99.1 and is incorporated herein by
reference.
The
information furnished herein and therein shall not be deemed
“filed” for purposes of Section 18 of the Securities
Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise
subject to the liabilities of that Section, or incorporated by
reference in any filing under the Exchange Act or the Securities
Act of 1933, as amended, except as shall be expressly set forth by
specific reference in such filing.
Item
9.01
Financial
Statements and Exhibits
(d) Exhibits Index
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Exhibit No.
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Description
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99.1
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Press
release issued by VistaGen Therapeutics Inc. dated November 14,
2016.
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Disclaimer.
This
Current Report on Form 8-K may contain, among other things, certain
forward-looking statements within the meaning of the Private
Securities Litigation Reform Act of 1995, including, without
limitation, (i) statements with respect to the Company's plans,
objectives, expectations and intentions; and (ii) other statements
identified by words such as "may", "could", "would", should",
"believes", "expects", "anticipates", "estimates", "intends",
"plans" or similar expressions. These statements are based upon the
current beliefs and expectations of the Company's management and
are subject to significant risks and uncertainties.
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 hereunto duly authorized.
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VistaGen
Therapeutics Inc.
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Date: November 14,
2016
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By:
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/s/ Shawn K.
Singh
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Name:
Title:
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Shawn K.
Singh
Chief Executive
Officer
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EXHIBIT INDEX
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Exhibit Number
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Description
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99.1
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Press
release issued by VistaGen Therapeutics Inc. dated November 14,
2016.
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