EMMA

SEC source: 0001615774-19-008336 · s118516_form4.xml · nonDerivative · entry 1

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,117,925

F1 · balance_after: Does not include 15,000 restricted shares that are subject to vesting.

SEC source: 0001615774-19-007502 · s118138_form4.xml · derivative · entry 2

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-05-08

F2 · price: The Reporting Person was granted 100,000 options under the 2012 Plan, with such options to purchase vesting immediately, and 25,000 of such options are subject to forfeiture if the contemplated merger with Emmaus Life Sciences, Inc. does not close.

SEC source: 0001615774-19-007502 · s118138_form4.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,539

F1 · security: The above restricted shares granted under MYnd Analytics, Inc.'s Amended and Restated 2012 Omnibus Incentive Compensation Plan (the "2012 Plan") vest immediately. 25,000 of such restricted shares are subject to forfeiture if the contemplated merger with Emmaus Life Sciences, Inc. does not close.

SEC source: 0001615774-19-004072 · s116731_form4.xml · nonDerivative · entry 1

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 917,925

F1 · balance_after: Does not include 15,000 restricted shares that are subject to vesting.

SEC source: 0001615774-18-014475 · s114740_form4.xml · derivative · entry 1

Herguth Patrick · CIK 0001353199 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2028-12-12

F1 · shares: On December 12, 2018, the Reporting Person was granted an option to purchase 400,000 shares of common stock. Options to purchase 200,000 of such shares were issued under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan, pursuant to an Employment Agreement, dated as of December 12, 2018, by and between the Company and the Reporting Person. 50,000 of the 400,000 options vested on the grant date, with the remainder vesting upon the satisfaction of performance targets or time-based vesting schedules specified in the Employment Agreement.

F1 · derivative.expiration_date: On December 12, 2018, the Reporting Person was granted an option to purchase 400,000 shares of common stock. Options to purchase 200,000 of such shares were issued under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan, pursuant to an Employment Agreement, dated as of December 12, 2018, by and between the Company and the Reporting Person. 50,000 of the 400,000 options vested on the grant date, with the remainder vesting upon the satisfaction of performance targets or time-based vesting schedules specified in the Employment Agreement.

F1 · balance_after: On December 12, 2018, the Reporting Person was granted an option to purchase 400,000 shares of common stock. Options to purchase 200,000 of such shares were issued under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan, pursuant to an Employment Agreement, dated as of December 12, 2018, by and between the Company and the Reporting Person. 50,000 of the 400,000 options vested on the grant date, with the remainder vesting upon the satisfaction of performance targets or time-based vesting schedules specified in the Employment Agreement.

SEC source: 0001615774-18-014473 · ownership.xml · derivative · entry 1

Carpenter George C IV · CIK 0001413989 · Chief Innovation Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2028-12-12

F1 · shares: On December 12, 2018, the Reporting Person was granted an option to purchase 50,000 shares of common stock, pursuant to that certain Amendment to Agreement, dated as of December 12, 2018, by and between MYnd Analytics, Inc. and the Reporting Person (the "Amendment"), which vests in installments over a twelve-month period. 4,167 options vest on each one-month anniversary of the Grant Date up to and including the date of August 12, 2019. Thereafter, 4,166 options vest on each of September 12, 2019, October 12, 2019, November 12, 2019 and December 12, 2019.

F1 · derivative.expiration_date: On December 12, 2018, the Reporting Person was granted an option to purchase 50,000 shares of common stock, pursuant to that certain Amendment to Agreement, dated as of December 12, 2018, by and between MYnd Analytics, Inc. and the Reporting Person (the "Amendment"), which vests in installments over a twelve-month period. 4,167 options vest on each one-month anniversary of the Grant Date up to and including the date of August 12, 2019. Thereafter, 4,166 options vest on each of September 12, 2019, October 12, 2019, November 12, 2019 and December 12, 2019.

F1 · balance_after: On December 12, 2018, the Reporting Person was granted an option to purchase 50,000 shares of common stock, pursuant to that certain Amendment to Agreement, dated as of December 12, 2018, by and between MYnd Analytics, Inc. and the Reporting Person (the "Amendment"), which vests in installments over a twelve-month period. 4,167 options vest on each one-month anniversary of the Grant Date up to and including the date of August 12, 2019. Thereafter, 4,166 options vest on each of September 12, 2019, October 12, 2019, November 12, 2019 and December 12, 2019.

SEC source: 0001615774-18-013955 · s114543_form4.xml · derivative · entry 1

Carpenter George C IV · CIK 0001413989 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2028-12-03

F1 · shares: On December 03, 2018, the Reporting Person was granted an option to purchase 30,000 shares of common stock under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan. 10,000 of the options vested on the grant date (December 3, 2018), with the same amount vesting on the first anniversary of the grant date and the same amount vesting on the second anniversary of the grant date.

F1 · derivative.expiration_date: On December 03, 2018, the Reporting Person was granted an option to purchase 30,000 shares of common stock under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan. 10,000 of the options vested on the grant date (December 3, 2018), with the same amount vesting on the first anniversary of the grant date and the same amount vesting on the second anniversary of the grant date.

F1 · balance_after: On December 03, 2018, the Reporting Person was granted an option to purchase 30,000 shares of common stock under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan. 10,000 of the options vested on the grant date (December 3, 2018), with the same amount vesting on the first anniversary of the grant date and the same amount vesting on the second anniversary of the grant date.

SEC source: 0001615774-18-013954 · s114542_form4.xml · derivative · entry 1

D'Ambrosio Donald Eric · CIK 0001701944 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,500

Underlying: Common Stock · 26,500 shares

Expires 2028-12-03

F1 · shares: On December 03, 2018, the Reporting Person was granted an option to purchase 26,500 shares of common stock under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan. 8,834 of the options vested on the grant date (December 3, 2018), with 8,833 vesting on the first anniversary of the grant date and 8,833 vesting on the second anniversary of the grant date.

F1 · derivative.expiration_date: On December 03, 2018, the Reporting Person was granted an option to purchase 26,500 shares of common stock under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan. 8,834 of the options vested on the grant date (December 3, 2018), with 8,833 vesting on the first anniversary of the grant date and 8,833 vesting on the second anniversary of the grant date.

F1 · balance_after: On December 03, 2018, the Reporting Person was granted an option to purchase 26,500 shares of common stock under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan. 8,834 of the options vested on the grant date (December 3, 2018), with 8,833 vesting on the first anniversary of the grant date and 8,833 vesting on the second anniversary of the grant date.

SEC source: 0001615774-18-010703 · s113238_form4.xml · nonDerivative · entry 1

Votruba Michal · CIK 0001653967 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,000

F1 · shares: On October 8, 2018, the Reporting Person was granted 144,000 restricted shares under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan. The Reporting Person has assigned all benefits resulting from the grant of restricted common stock and options to RSJ Investments SICAV a.s. acting in respect of its sub-fund (podfond) RSJ Gradus pod fond, RSJ Investments SICAV a.s.

F1 · balance_after: On October 8, 2018, the Reporting Person was granted 144,000 restricted shares under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan. The Reporting Person has assigned all benefits resulting from the grant of restricted common stock and options to RSJ Investments SICAV a.s. acting in respect of its sub-fund (podfond) RSJ Gradus pod fond, RSJ Investments SICAV a.s.

SEC source: 0001615774-18-010699 · s113235_form4.xml · derivative · entry 1

Carpenter George C IV · CIK 0001413989 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Common Stock · 48,000 shares

Expires 2028-10-08

F1 · shares: On October 8, 2018, the Reporting Person was granted an option to purchase 48,000 shares of common stock under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan, subject to shareholder approval of an amendment increasing the total shares available for grant thereunder. 6,000 of the options vested on the grant date, with the remainder vesting upon the satisfaction of specified performance targets.

F1 · derivative.expiration_date: On October 8, 2018, the Reporting Person was granted an option to purchase 48,000 shares of common stock under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan, subject to shareholder approval of an amendment increasing the total shares available for grant thereunder. 6,000 of the options vested on the grant date, with the remainder vesting upon the satisfaction of specified performance targets.

F1 · balance_after: On October 8, 2018, the Reporting Person was granted an option to purchase 48,000 shares of common stock under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan, subject to shareholder approval of an amendment increasing the total shares available for grant thereunder. 6,000 of the options vested on the grant date, with the remainder vesting upon the satisfaction of specified performance targets.

SEC source: 0001615774-18-010697 · s113234_form4.xml · derivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Common Stock · 48,000 shares

Expires 2028-10-08

F1 · shares: On October 8, 2018, the Reporting Person was granted an option to purchase 48,000 shares of common stock under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan, subject to shareholder approval of an amendment increasing the total shares available for grant thereunder. 12,000 of the options vested on the grant date, with the remainder vesting upon the satisfaction of specified performance targets.

F1 · derivative.expiration_date: On October 8, 2018, the Reporting Person was granted an option to purchase 48,000 shares of common stock under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan, subject to shareholder approval of an amendment increasing the total shares available for grant thereunder. 12,000 of the options vested on the grant date, with the remainder vesting upon the satisfaction of specified performance targets.

F1 · balance_after: On October 8, 2018, the Reporting Person was granted an option to purchase 48,000 shares of common stock under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan, subject to shareholder approval of an amendment increasing the total shares available for grant thereunder. 12,000 of the options vested on the grant date, with the remainder vesting upon the satisfaction of specified performance targets.

SEC source: 0001615774-18-010695 · s113233_form4.xml · derivative · entry 1

D'Ambrosio Donald Eric · CIK 0001701944 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2028-10-08

F1 · shares: On October 8, 2018, the Reporting Person was granted an option to purchase 30000 shares of common stock under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan, subject to shareholder approval of an amendment increasing the total shares available for grant thereunder. 5000 of the options vested on the grant date, with the remainder vesting upon the satisfaction of specified performance targets.

F1 · derivative.expiration_date: On October 8, 2018, the Reporting Person was granted an option to purchase 30000 shares of common stock under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan, subject to shareholder approval of an amendment increasing the total shares available for grant thereunder. 5000 of the options vested on the grant date, with the remainder vesting upon the satisfaction of specified performance targets.

F1 · balance_after: On October 8, 2018, the Reporting Person was granted an option to purchase 30000 shares of common stock under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan, subject to shareholder approval of an amendment increasing the total shares available for grant thereunder. 5000 of the options vested on the grant date, with the remainder vesting upon the satisfaction of specified performance targets.

SEC source: 0001615774-18-010693 · s113209_form4.xml · nonDerivative · entry 1

Unanue Peter · CIK 0001717633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,627

F1 · shares: The above restricted shares were granted under Mynd Analytics, Inc.'s (the "Company") Amended and Restated 2012 Omnibus Incentive Compensation Plan and vest quarterly.

SEC source: 0001615774-18-010691 · s113208_form4.xml · nonDerivative · entry 1

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 832,925

F1 · shares: The above restricted shares were granted under Mynd Analytics, Inc.'s (the "Company") Amended and Restated 2012 Omnibus Incentive Compensation Plan and vest quarterly.

SEC source: 0001615774-18-010689 · s113207_form4.xml · nonDerivative · entry 1

Harris Geoffrey E. · CIK 0001611395 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,110

F1 · shares: The above restricted shares were granted under Mynd Analytics, Inc.'s (the "Company") Amended and Restated 2012 Omnibus Incentive Compensation Plan and vest quarterly.

SEC source: 0001615774-18-013077 · s114147_form4.xml · nonDerivative · entry 2

Votruba Michal · CIK 0001653967 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On October 8, 2018, the Reporting Person was granted 144,000 shares of restricted common stock under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan. The Reporting Person immediately and automatically assigned all benefits resulting from the October 8, 2018 grant of restricted common stock to RSJ Investments SICAV a.s. ("RSJ") pursuant to the policies of RSJ regarding stock ownership by its employees, as documented by an Agreement between the Reporting Person and RSJ. The Reporting Person is serving on the Board of MYnd Analytics, Inc. at the request of RSJ.

F1 · shares: On October 8, 2018, the Reporting Person was granted 144,000 shares of restricted common stock under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan. The Reporting Person immediately and automatically assigned all benefits resulting from the October 8, 2018 grant of restricted common stock to RSJ Investments SICAV a.s. ("RSJ") pursuant to the policies of RSJ regarding stock ownership by its employees, as documented by an Agreement between the Reporting Person and RSJ. The Reporting Person is serving on the Board of MYnd Analytics, Inc. at the request of RSJ.

F1 · acquired: On October 8, 2018, the Reporting Person was granted 144,000 shares of restricted common stock under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan. The Reporting Person immediately and automatically assigned all benefits resulting from the October 8, 2018 grant of restricted common stock to RSJ Investments SICAV a.s. ("RSJ") pursuant to the policies of RSJ regarding stock ownership by its employees, as documented by an Agreement between the Reporting Person and RSJ. The Reporting Person is serving on the Board of MYnd Analytics, Inc. at the request of RSJ.

SEC source: 0001615774-18-013077 · s114147_form4.xml · nonDerivative · entry 1

Votruba Michal · CIK 0001653967 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,000

F1 · kind: On October 8, 2018, the Reporting Person was granted 144,000 shares of restricted common stock under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan. The Reporting Person immediately and automatically assigned all benefits resulting from the October 8, 2018 grant of restricted common stock to RSJ Investments SICAV a.s. ("RSJ") pursuant to the policies of RSJ regarding stock ownership by its employees, as documented by an Agreement between the Reporting Person and RSJ. The Reporting Person is serving on the Board of MYnd Analytics, Inc. at the request of RSJ.

F1 · shares: On October 8, 2018, the Reporting Person was granted 144,000 shares of restricted common stock under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan. The Reporting Person immediately and automatically assigned all benefits resulting from the October 8, 2018 grant of restricted common stock to RSJ Investments SICAV a.s. ("RSJ") pursuant to the policies of RSJ regarding stock ownership by its employees, as documented by an Agreement between the Reporting Person and RSJ. The Reporting Person is serving on the Board of MYnd Analytics, Inc. at the request of RSJ.

F1 · acquired: On October 8, 2018, the Reporting Person was granted 144,000 shares of restricted common stock under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan. The Reporting Person immediately and automatically assigned all benefits resulting from the October 8, 2018 grant of restricted common stock to RSJ Investments SICAV a.s. ("RSJ") pursuant to the policies of RSJ regarding stock ownership by its employees, as documented by an Agreement between the Reporting Person and RSJ. The Reporting Person is serving on the Board of MYnd Analytics, Inc. at the request of RSJ.

SEC source: 0001615774-18-013075 · s114146_form4.xml · nonDerivative · entry 1

RSJ Investments SICAV a.s. acting in respect of its sub-fund (podfond) RSJ Gradus podfond, RSJ Investment SICAV a.s. · CIK 0001682250 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,056,474

F1 · kind: On October 8, 2018, the Reporting Person acquired the 144,000 shares of restricted common stock because Michal Votruba immediately and automatically assigned all benefits resulting from an October 8, 2018 grant of restricted common stock to the Reporting Person pursuant to the policies of the Reporting Person regarding stock ownership by its employees, as documented by an Agreement between Michal Votruba and the Reporting Person. Michal Votruba was entitled to acquire the shares under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan. Michal Votruba is serving on the Board of MYnd Analytics, Inc. at the request of the Reporting Person.

F1 · shares: On October 8, 2018, the Reporting Person acquired the 144,000 shares of restricted common stock because Michal Votruba immediately and automatically assigned all benefits resulting from an October 8, 2018 grant of restricted common stock to the Reporting Person pursuant to the policies of the Reporting Person regarding stock ownership by its employees, as documented by an Agreement between Michal Votruba and the Reporting Person. Michal Votruba was entitled to acquire the shares under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan. Michal Votruba is serving on the Board of MYnd Analytics, Inc. at the request of the Reporting Person.

F1 · acquired: On October 8, 2018, the Reporting Person acquired the 144,000 shares of restricted common stock because Michal Votruba immediately and automatically assigned all benefits resulting from an October 8, 2018 grant of restricted common stock to the Reporting Person pursuant to the policies of the Reporting Person regarding stock ownership by its employees, as documented by an Agreement between Michal Votruba and the Reporting Person. Michal Votruba was entitled to acquire the shares under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan. Michal Votruba is serving on the Board of MYnd Analytics, Inc. at the request of the Reporting Person.

SEC source: 0001615774-18-013143 · ownership.xml · nonDerivative · entry 1

RSJ Investments SICAV a.s. acting in respect of its sub-fund (podfond) RSJ Gradus podfond, RSJ Investment SICAV a.s. · CIK 0001682250 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,056,474

F1 · kind: On October 8, 2018, the Reporting Person acquired the 144,000 shares of restricted common stock because Michal Votruba immediately and automatically assigned all benefits resulting from an October 8, 2018 grant of restricted common stock to the Reporting Person pursuant to the policies of the Reporting Person regarding stock ownership by its employees, as documented by an Agreement between Michal Votruba and the Reporting Person. Michal Votruba was entitled to acquire the shares under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan. Michal Votruba is serving on the Board of MYnd Analytics, Inc. at the request of the Reporting Person.

F1 · shares: On October 8, 2018, the Reporting Person acquired the 144,000 shares of restricted common stock because Michal Votruba immediately and automatically assigned all benefits resulting from an October 8, 2018 grant of restricted common stock to the Reporting Person pursuant to the policies of the Reporting Person regarding stock ownership by its employees, as documented by an Agreement between Michal Votruba and the Reporting Person. Michal Votruba was entitled to acquire the shares under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan. Michal Votruba is serving on the Board of MYnd Analytics, Inc. at the request of the Reporting Person.

F1 · acquired: On October 8, 2018, the Reporting Person acquired the 144,000 shares of restricted common stock because Michal Votruba immediately and automatically assigned all benefits resulting from an October 8, 2018 grant of restricted common stock to the Reporting Person pursuant to the policies of the Reporting Person regarding stock ownership by its employees, as documented by an Agreement between Michal Votruba and the Reporting Person. Michal Votruba was entitled to acquire the shares under the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan. Michal Votruba is serving on the Board of MYnd Analytics, Inc. at the request of the Reporting Person.

SEC source: 0001615774-18-010497 · s113137_form4.xml · derivative · entry 2

RSJ Investments SICAV a.s. acting in respect of its sub-fund (podfond) RSJ Gradus podfond, RSJ Investment SICAV a.s. · CIK 0001682250 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,270

Underlying: Common Stock · 270,270 shares

Expires 2023-09-23

F2 · price: Reporting Person purchased 270,270 units at a price of $1.85 per unit, with each unit consisting of (i) one share of Common Stock and (ii) one Common Stock Purchase Warrant to purchase one share of Common Stock for $2.00 per share.

SEC source: 0001615774-18-010497 · s113137_form4.xml · nonDerivative · entry 1

RSJ Investments SICAV a.s. acting in respect of its sub-fund (podfond) RSJ Gradus podfond, RSJ Investment SICAV a.s. · CIK 0001682250 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 912,474

F1 · security: 270,270 shares of Common Stock and Warrants to purchase 270,270 shares of Common Stock for $2.00 were purchased by the Reporting Person for an aggregate of $499,999.50 pursuant to a Subscription Agreement, dated September 21, 2018 (the "Subscription Agreement"), between the Issuer and the investors party thereto.

SEC source: 0001615774-18-010304 · s113039_form4.xml · derivative · entry 2

Carpenter George C IV · CIK 0001413989 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,513

Underlying: Common Stock · 13,513 shares

Expires 2023-09-23

F2 · price: Reporting Person purchased 13,513 units at a price of $1.85 per unit, with each unit consisting of (i) one share of Common Stock and (ii) one Common Stock Purchase Warrant to purchase one share of Common Stock for $2.00 per share.

SEC source: 0001615774-18-010304 · s113039_form4.xml · nonDerivative · entry 1

Carpenter George C IV · CIK 0001413989 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,806

F1 · security: 13,513 shares of Common Stock and Warrants to purchased 13,513 shares of Common Stock for $2.00 were purchased by the Reporting Person for an aggregate of $25,000 pursuant to a Subscription Agreement, dated September 21, 2018 (the "Subscription Agreement"), between the Issuer and the investors party thereto.

SEC source: 0001615774-18-009968 · s112892_form4.xml · derivative · entry 2

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,135

Underlying: Common Stock · 135,135 shares

Expires 2023-09-23

F2 · price: Reporting Person purchased 135,135 units at a price of $1.85 per unit, with each unit consisting of: (i) one share of Common Stock and (ii) one Common Stock Purchase Warrant to purchase one share of Common Stock for $2.00 per share.

SEC source: 0001615774-18-009968 · s112892_form4.xml · nonDerivative · entry 1

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 802,925

F1 · security: 135,135 shares of Common Stock and Warrants to purchase 135,135 shares of Common Stock for $2.00 were purchased by the Reporting Person for an aggregate of $250,000 pursuant to a Subscription Agreement, dated September 21, 2018 (the "Subscription Agreement"), between the Issuer and the investors party thereto.

SEC source: 0001615774-18-009967 · s112894_form4.xml · derivative · entry 2

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,513

Underlying: Common Stock · 13,513 shares

Expires 2023-09-23

F2 · price: Reporting Person purchased 13,513 units at a price of $1.85 per unit, with each unit consisting of (i) one share of Common Stock and (ii) one Common Stock Purchase Warrant to purchase one share of Common Stock for $2.00 per share.

SEC source: 0001615774-18-009967 · s112894_form4.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,539

F1 · security: 13,513 shares of Common Stock and Warrants to purchase 13,513 shares of Common Stock for $2.00 were purchased by the Reporting Person for an aggregate of $25,000 pursuant to a Subscription Agreement, dated September 21, 2018 (the "Subscription Agreement"), between the Issuer and the investors party thereto.

SEC source: 0001615774-18-010012 · s112893_form4.xml · derivative · entry 2

Unanue Peter · CIK 0001717633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,027

Underlying: Common Stock · 27,027 shares

Expires 2023-09-23

F2 · price: Reporting Person purchased 27,027 units at a price of $1.85 per unit, with each unit consisting of (i) one share of Common Stock and (ii) one Common Stock Purchase Warrant to purchase one share of Common Stock for $2.00 per share.

SEC source: 0001615774-18-010012 · s112893_form4.xml · nonDerivative · entry 1

Unanue Peter · CIK 0001717633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,627

F1 · security: 27,027 shares of Common Stock and Warrants to purchase 27,027 shares of Common Stock for $2.00 were purchased by the Reporting Person for an aggregate of $50,000 pursuant to a Subscription Agreement, dated September 21, 2018 (the "Subscription Agreement"), between the Issuer and the investors party thereto.

SEC source: 0001615774-18-008752 · s112368_form4a.xml · nonDerivative · entry 2

PAPPAJOHN JOHN · CIK 0000897464 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 667,790

SEC source: 0001615774-18-008752 · s112368_form4a.xml · nonDerivative · entry 1

PAPPAJOHN JOHN · CIK 0000897464 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 617,790

SEC source: 0001615774-18-008733 · s112361_form4.xml · nonDerivative · entry 2

PAPPAJOHN JOHN · CIK 0000897464 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 667,790

SEC source: 0001615774-18-008733 · s112361_form4.xml · nonDerivative · entry 1

PAPPAJOHN JOHN · CIK 0000897464 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 617,790

SEC source: 0001615774-18-004584 · s110528_form4.xml · nonDerivative · entry 1

RSJ Investments SICAV a.s. acting in respect of its sub-fund (podfond) RSJ Gradus podfond, RSJ Investment SICAV a.s. · CIK 0001682250 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 642,204

F1 · shares: On May 25, 2018, the Board of Directors (the "Board") of MYnd Analytics, Inc. granted the indicated number of restricted shares (the "Shares") in lieu of the remaining amount of Michal Votruba's Board fee for the 2017-2018 fiscal year. Mr. Votruba has agreed to assign all compensation provided for his service on the Board to the Reporting Person. The Shares were issued pursuant to the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan.

SEC source: 0001615774-18-004582 · s110527_form4.xml · nonDerivative · entry 1

Unanue Peter · CIK 0001717633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,600

F1 · shares: On May 25, 2018, the Board of Directors (the "Board") of MYnd Analytics, Inc. granted the indicated number of restricted shares (the "Shares") in lieu of the remaining amount of the Reporting Person's Board fee for the 2017-2018 fiscal year. The Shares were issued pursuant to the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan.

SEC source: 0001615774-18-004580 · s110525_form4.xml · nonDerivative · entry 1

PAPPAJOHN JOHN · CIK 0000897464 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 567,790

F1 · shares: On May 25, 2018, the Board of Directors (the "Board") of MYnd Analytics, Inc. granted the indicated number of restricted shares (the "Shares") in lieu of the remaining amount of the Reporting Person's Board fee for the 2017-2018 fiscal year. The Shares were issued pursuant to the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan.

SEC source: 0001615774-18-004578 · s110524_form4.xml · nonDerivative · entry 1

Carpenter George C IV · CIK 0001413989 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,913

F1 · shares: On May 25, 2018, the Board of Directors (the "Board") of MYnd Analytics, Inc. granted the indicated number of restricted shares (the "Shares") in lieu of a portion of the Reporting Person's salary. The Shares were issued pursuant to the MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan.

SEC source: 0001615774-18-002790 · s109724_form4.xml · nonDerivative · entry 1

Carpenter George C IV · CIK 0001413989 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,708

F1 · date: The award of Common Stock was granted, and approved by the board of directors of MYnd Analytics, Inc. (the "Registrant"), as an amendment to the Employment Agreement dated September 7, 2007. The shares vests quarterly.

SEC source: 0001615774-18-002788 · s109720_form4.xml · derivative · entry 3

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2028-04-16

F3 · date: The award was granted and approved by the board of directors on April 16, 2018. The option vests in three equal installments as follows: 1/3 on the Effective Date, 1/3 on the six-month anniversary of the Effective Date and 1/3 on the twelve-month anniversary of the Effective Date.

F3 · derivative.exercise_date: The award was granted and approved by the board of directors on April 16, 2018. The option vests in three equal installments as follows: 1/3 on the Effective Date, 1/3 on the six-month anniversary of the Effective Date and 1/3 on the twelve-month anniversary of the Effective Date.

SEC source: 0001615774-18-002857 · s109770_form4a.xml · derivative · entry 3

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2028-04-16

F3 · date: The award was granted and approved by the board of directors on April 16, 2018. The option vests on the Effective Date.

F3 · derivative.exercise_date: The award was granted and approved by the board of directors on April 16, 2018. The option vests on the Effective Date.

SEC source: 0001615774-18-002788 · s109720_form4.xml · derivative · entry 2

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2028-04-04

F2 · date: The award was granted, and approved by the board of directors of the Registrant, subject to stockholder approval of amendments to the Registrant's Amended and Restated 2012 Omnibus Incentive Compensation Plan (the "Plan"), pursuant to the Agreement. The Registrant's stockholders approved the amendments to the Plan on April 4, 2018. The option vests in three equal installments as follows: 1/3 on the Effective Date, 1/3 on the six-month anniversary of the Effective Date and 1/3 on the twelve-month anniversary of the Effective Date.

F2 · derivative.exercise_date: The award was granted, and approved by the board of directors of the Registrant, subject to stockholder approval of amendments to the Registrant's Amended and Restated 2012 Omnibus Incentive Compensation Plan (the "Plan"), pursuant to the Agreement. The Registrant's stockholders approved the amendments to the Plan on April 4, 2018. The option vests in three equal installments as follows: 1/3 on the Effective Date, 1/3 on the six-month anniversary of the Effective Date and 1/3 on the twelve-month anniversary of the Effective Date.

SEC source: 0001615774-18-002788 · s109720_form4.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,026

F1 · date: The award of Common Stock was granted, and approved by the board of directors of MYnd Analytics, Inc. (the "Registrant"), subject to stockholder approval of amendments to the Registrant's Amended and Restated 2012 Omnibus Incentive Compensation Plan (the "Plan"), pursuant to that certain Chairman Services Agreement (the "Agreement"), dated July 14, 2017 (the "Effective Date"), by and between the reporting person and the Registrant. The Registrant's stockholders approved the amendments to the Plan on April 4, 2018 and the grant vested immediately The registrant agreed to pay the associated taxes, federal and state for this award.

SEC source: 0001615774-18-002857 · s109770_form4a.xml · derivative · entry 2

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2028-04-04

F2 · date: The award was granted, and approved by the board of directors of the Registrant, subject to stockholder approval of amendments to the Registrant's Amended and Restated 2012 Omnibus Incentive Compensation Plan (the "Plan"), pursuant to the Agreement. The Registrant's stockholders approved the amendments to the Plan on April 4, 2018. The option vests in three equal installments as follows: 1/3 on the Effective Date, 1/3 on the six-month anniversary of the Effective Date and 1/3 on the twelve-month anniversary of the Effective Date.

F2 · derivative.exercise_date: The award was granted, and approved by the board of directors of the Registrant, subject to stockholder approval of amendments to the Registrant's Amended and Restated 2012 Omnibus Incentive Compensation Plan (the "Plan"), pursuant to the Agreement. The Registrant's stockholders approved the amendments to the Plan on April 4, 2018. The option vests in three equal installments as follows: 1/3 on the Effective Date, 1/3 on the six-month anniversary of the Effective Date and 1/3 on the twelve-month anniversary of the Effective Date.

SEC source: 0001615774-18-002857 · s109770_form4a.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,026

F1 · date: The award of Common Stock was granted, and approved by the board of directors of MYnd Analytics, Inc. (the "Registrant"), subject to stockholder approval of amendments to the Registrant's Amended and Restated 2012 Omnibus Incentive Compensation Plan (the "Plan"), pursuant to that certain Chairman Services Agreement (the "Agreement"), dated July 14, 2017 (the "Effective Date"), by and between the reporting person and the Registrant. The Registrant's stockholders approved the amendments to the Plan on April 4, 2018 and the grant vested immediately The registrant agreed to pay the associated taxes, federal and state for this award.

SEC source: 0001615774-18-002939 · s109818_form4.xml · derivative · entry 1

D'Ambrosio Donald Eric · CIK 0001701944 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2028-04-04

F1 · shares: On April 4, 2018, the reporting person was granted an option to purchase 18,000 shares of common stock. The option vests in four equal installments based on the reporting person's satisfaction of certain performance criteria. Three of the four milestones have been satisfied.

F1 · balance_after: On April 4, 2018, the reporting person was granted an option to purchase 18,000 shares of common stock. The option vests in four equal installments based on the reporting person's satisfaction of certain performance criteria. Three of the four milestones have been satisfied.

SEC source: 0001615774-18-002321 · s109515_form4.xml · derivative · entry 2

Unanue Peter · CIK 0001717633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

F1 · derivative.exercise_price: 50,000 shares of Series A Preferred Stock and Warrants to purchase 50,000 shares of Common Stock were purchased by the Reporting Person for an aggregate of $100,000 pursuant to a Subscription Agreement, dated as of March 29, 2018 (the "Subscription Agreement"), between the Issuer and the investors party thereto. The Series A Preferred Stock are convertible by the Reporting Person as of the date of the Subscription Agreement and are convertible at a conversion price of $1.875 per share.

F3 · derivative.exercise_price: Each Warrant entitles its holder to purchase one share of Common Stock at an exercise price of $2.34 per share, subject to adjustment, at any time commencing on March 29, 2018 and expiring on March 29, 2023 (or earlier upon redemption or liquidation).

F3 · derivative.exercise_date: Each Warrant entitles its holder to purchase one share of Common Stock at an exercise price of $2.34 per share, subject to adjustment, at any time commencing on March 29, 2018 and expiring on March 29, 2023 (or earlier upon redemption or liquidation).

F3 · derivative.expiration_date: Each Warrant entitles its holder to purchase one share of Common Stock at an exercise price of $2.34 per share, subject to adjustment, at any time commencing on March 29, 2018 and expiring on March 29, 2023 (or earlier upon redemption or liquidation).

SEC source: 0001615774-18-002321 · s109515_form4.xml · derivative · entry 1

Unanue Peter · CIK 0001717633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

F1 · derivative.exercise_price: 50,000 shares of Series A Preferred Stock and Warrants to purchase 50,000 shares of Common Stock were purchased by the Reporting Person for an aggregate of $100,000 pursuant to a Subscription Agreement, dated as of March 29, 2018 (the "Subscription Agreement"), between the Issuer and the investors party thereto. The Series A Preferred Stock are convertible by the Reporting Person as of the date of the Subscription Agreement and are convertible at a conversion price of $1.875 per share.

F1 · shares: 50,000 shares of Series A Preferred Stock and Warrants to purchase 50,000 shares of Common Stock were purchased by the Reporting Person for an aggregate of $100,000 pursuant to a Subscription Agreement, dated as of March 29, 2018 (the "Subscription Agreement"), between the Issuer and the investors party thereto. The Series A Preferred Stock are convertible by the Reporting Person as of the date of the Subscription Agreement and are convertible at a conversion price of $1.875 per share.

F2 · shares: Each Share of Series A Preferred Stock is convertible, at the holder's option at any time, initially into 50,000 shares of the Issuer's Common Stock, subject to specific adjustments and limitations as set forth in the Certificate of Designation pertaining to such Series A Preferred Stock.

F2 · price: Each Share of Series A Preferred Stock is convertible, at the holder's option at any time, initially into 50,000 shares of the Issuer's Common Stock, subject to specific adjustments and limitations as set forth in the Certificate of Designation pertaining to such Series A Preferred Stock.

F2 · derivative.exercise_date: Each Share of Series A Preferred Stock is convertible, at the holder's option at any time, initially into 50,000 shares of the Issuer's Common Stock, subject to specific adjustments and limitations as set forth in the Certificate of Designation pertaining to such Series A Preferred Stock.

F2 · derivative.expiration_date: Each Share of Series A Preferred Stock is convertible, at the holder's option at any time, initially into 50,000 shares of the Issuer's Common Stock, subject to specific adjustments and limitations as set forth in the Certificate of Designation pertaining to such Series A Preferred Stock.

F1 · derivative.underlying_shares: 50,000 shares of Series A Preferred Stock and Warrants to purchase 50,000 shares of Common Stock were purchased by the Reporting Person for an aggregate of $100,000 pursuant to a Subscription Agreement, dated as of March 29, 2018 (the "Subscription Agreement"), between the Issuer and the investors party thereto. The Series A Preferred Stock are convertible by the Reporting Person as of the date of the Subscription Agreement and are convertible at a conversion price of $1.875 per share.

F2 · derivative.underlying_shares: Each Share of Series A Preferred Stock is convertible, at the holder's option at any time, initially into 50,000 shares of the Issuer's Common Stock, subject to specific adjustments and limitations as set forth in the Certificate of Designation pertaining to such Series A Preferred Stock.

SEC source: 0001615774-18-002319 · s109514_form4.xml · derivative · entry 4

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires not disclosed

F1 · derivative.exercise_price: 500,000 shares of Series A Preferred Stock and Warrants to purchase 500,000 shares of Common Stock were purchased by the Reporting Person for an aggregate of $1,000,000 pursuant to a Subscription Agreement, dated as of March 29, 2018 (the "Subscription Agreement"), between the Issuer and the investors party thereto. The Series A Preferred Stock are convertible by the Reporting Person as of the date of the Subscription Agreement and are convertible at a conversion price of $1.875 per share.

F4 · derivative.exercise_price: Each Warrant entitles its holder to purchase one share of Common Stock at an exercise price of $2.34 per share, subject to adjustment, at any time commencing on March 29, 2018 and expiring on March 29, 2023 (or earlier upon redemption or liquidation).

F4 · derivative.exercise_date: Each Warrant entitles its holder to purchase one share of Common Stock at an exercise price of $2.34 per share, subject to adjustment, at any time commencing on March 29, 2018 and expiring on March 29, 2023 (or earlier upon redemption or liquidation).

F4 · derivative.expiration_date: Each Warrant entitles its holder to purchase one share of Common Stock at an exercise price of $2.34 per share, subject to adjustment, at any time commencing on March 29, 2018 and expiring on March 29, 2023 (or earlier upon redemption or liquidation).

F3 · ownership.nature: Reporting Person beneficially owns 500,000 shares of Series a Preferred Stock and Warrants to purchase 500,000 shares of Common Stock that were purchased by his spouse, Mary Pappajohn. These shares of Series a Preferred Stock and Warrants were purchased pursuant to the Subscription Agreement, dated as of March 29, 2018. Mr. Pappajohn disclaims beneficial ownership of any shares of Series A Preferred Stock and Warrants held by Mrs. Pappajohn.

SEC source: 0001615774-18-002319 · s109514_form4.xml · derivative · entry 3

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires not disclosed

F1 · derivative.exercise_price: 500,000 shares of Series A Preferred Stock and Warrants to purchase 500,000 shares of Common Stock were purchased by the Reporting Person for an aggregate of $1,000,000 pursuant to a Subscription Agreement, dated as of March 29, 2018 (the "Subscription Agreement"), between the Issuer and the investors party thereto. The Series A Preferred Stock are convertible by the Reporting Person as of the date of the Subscription Agreement and are convertible at a conversion price of $1.875 per share.

F4 · derivative.exercise_price: Each Warrant entitles its holder to purchase one share of Common Stock at an exercise price of $2.34 per share, subject to adjustment, at any time commencing on March 29, 2018 and expiring on March 29, 2023 (or earlier upon redemption or liquidation).

F4 · derivative.exercise_date: Each Warrant entitles its holder to purchase one share of Common Stock at an exercise price of $2.34 per share, subject to adjustment, at any time commencing on March 29, 2018 and expiring on March 29, 2023 (or earlier upon redemption or liquidation).

F4 · derivative.expiration_date: Each Warrant entitles its holder to purchase one share of Common Stock at an exercise price of $2.34 per share, subject to adjustment, at any time commencing on March 29, 2018 and expiring on March 29, 2023 (or earlier upon redemption or liquidation).

SEC source: 0001615774-18-002319 · s109514_form4.xml · derivative · entry 2

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires not disclosed

F1 · derivative.exercise_price: 500,000 shares of Series A Preferred Stock and Warrants to purchase 500,000 shares of Common Stock were purchased by the Reporting Person for an aggregate of $1,000,000 pursuant to a Subscription Agreement, dated as of March 29, 2018 (the "Subscription Agreement"), between the Issuer and the investors party thereto. The Series A Preferred Stock are convertible by the Reporting Person as of the date of the Subscription Agreement and are convertible at a conversion price of $1.875 per share.

F1 · shares: 500,000 shares of Series A Preferred Stock and Warrants to purchase 500,000 shares of Common Stock were purchased by the Reporting Person for an aggregate of $1,000,000 pursuant to a Subscription Agreement, dated as of March 29, 2018 (the "Subscription Agreement"), between the Issuer and the investors party thereto. The Series A Preferred Stock are convertible by the Reporting Person as of the date of the Subscription Agreement and are convertible at a conversion price of $1.875 per share.

F2 · shares: Each Share of Series A Preferred Stock is convertible, at the holder's option at any time, initially into 500,000 shares of the Issuer's Common Stock, subject to specific adjustments and limitations as set forth in the Certificate of Designation pertaining to such Series A Preferred Stock.

F2 · price: Each Share of Series A Preferred Stock is convertible, at the holder's option at any time, initially into 500,000 shares of the Issuer's Common Stock, subject to specific adjustments and limitations as set forth in the Certificate of Designation pertaining to such Series A Preferred Stock.

F2 · derivative.exercise_date: Each Share of Series A Preferred Stock is convertible, at the holder's option at any time, initially into 500,000 shares of the Issuer's Common Stock, subject to specific adjustments and limitations as set forth in the Certificate of Designation pertaining to such Series A Preferred Stock.

F2 · derivative.expiration_date: Each Share of Series A Preferred Stock is convertible, at the holder's option at any time, initially into 500,000 shares of the Issuer's Common Stock, subject to specific adjustments and limitations as set forth in the Certificate of Designation pertaining to such Series A Preferred Stock.

F1 · derivative.underlying_shares: 500,000 shares of Series A Preferred Stock and Warrants to purchase 500,000 shares of Common Stock were purchased by the Reporting Person for an aggregate of $1,000,000 pursuant to a Subscription Agreement, dated as of March 29, 2018 (the "Subscription Agreement"), between the Issuer and the investors party thereto. The Series A Preferred Stock are convertible by the Reporting Person as of the date of the Subscription Agreement and are convertible at a conversion price of $1.875 per share.

F2 · derivative.underlying_shares: Each Share of Series A Preferred Stock is convertible, at the holder's option at any time, initially into 500,000 shares of the Issuer's Common Stock, subject to specific adjustments and limitations as set forth in the Certificate of Designation pertaining to such Series A Preferred Stock.

F3 · ownership.nature: Reporting Person beneficially owns 500,000 shares of Series a Preferred Stock and Warrants to purchase 500,000 shares of Common Stock that were purchased by his spouse, Mary Pappajohn. These shares of Series a Preferred Stock and Warrants were purchased pursuant to the Subscription Agreement, dated as of March 29, 2018. Mr. Pappajohn disclaims beneficial ownership of any shares of Series A Preferred Stock and Warrants held by Mrs. Pappajohn.