EMMA

SEC source: 0001615774-18-002319 · s109514_form4.xml · derivative · entry 1

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.

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.

SEC source: 0001615774-18-000188 · s108669_form4.xml · nonDerivative · entry 1

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 563,290

SEC source: 0001615774-17-007165 · s108366_form4.xml · nonDerivative · entry 1

Unanue Peter · CIK 0001717633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,000

SEC source: 0001615774-17-007195 · s108370_form4.xml · nonDerivative · entry 3

Harris Geoffrey E. · CIK 0001611395 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,110

SEC source: 0001615774-17-007195 · s108370_form4.xml · nonDerivative · entry 2

Harris Geoffrey E. · CIK 0001611395 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,610

SEC source: 0001615774-17-007195 · s108370_form4.xml · nonDerivative · entry 1

Harris Geoffrey E. · CIK 0001611395 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,610

SEC source: 0001615774-17-006925 · s108241_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 · shares: Granted pursuant to compensatory arrangements.

F2 · ownership.direct: Securities are held in the name of George and Jill Carpenter.

SEC source: 0001615774-17-006923 · s108240_form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

F1 · shares: Granted pursuant to compensatory arrangements.

SEC source: 0001615774-17-006921 · s108239_form4.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,026

F1 · shares: Granted pursuant to compensatory arrangements.

SEC source: 0001615774-17-005261 · s107567_form4.xml · derivative · entry 2

Unanue Peter · CIK 0001717633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2027-09-19

F1 · derivative.exercise_date: The option vests in four equal quarterly installments beginning on December 19, 2017.

SEC source: 0001615774-17-005261 · s107567_form4.xml · nonDerivative · entry 1

Unanue Peter · CIK 0001717633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,100

SEC source: 0001615774-17-005240 · s107566_form4.xml · derivative · entry 2

Harris Geoffrey E. · CIK 0001611395 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2027-09-19

F1 · derivative.exercise_date: The option vests in four equal quarterly installments beginning on December 19, 2017.

SEC source: 0001615774-17-005240 · s107566_form4.xml · nonDerivative · entry 1

Harris Geoffrey E. · CIK 0001611395 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,558

SEC source: 0001615774-17-005238 · s107565_form4.xml · derivative · entry 2

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2027-09-19

F1 · derivative.exercise_date: The option vests in four equal quarterly installments beginning on December 19, 2017.

SEC source: 0001615774-17-005238 · s107565_form4.xml · nonDerivative · entry 1

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 553,290

SEC source: 0001615774-17-005313 · s107587_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: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2027-09-19

F1 · derivative.exercise_date: The option vests in four equal quarterly installments beginning on December 19, 2017.

SEC source: 0001615774-17-005313 · s107587_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: 637,704

SEC source: 0001615774-18-003641 · s110118_form4.xml · derivative · entry 1

Carpenter George C IV · CIK 0001413989 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-09-18

F1 · shares: On September 18, 2017, the reporting person was granted an option to purchase 100,000 shares of common stock. The grant of these options was contingent upon shareholder approval of an amendment to MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan (the "Plan") at the Company's 2018 Annual Meeting of Shareholders, increasing the total number of shares available for grant and an increase to the evergreen provision of the Plan. Such shareholder approval was obtained at the Company's 2018 Annual Meeting of Shareholders on April 4, 2018. The option vests in ten installments based on the reporting person's satisfaction of certain performance criteria. One of the ten milestones have been satisfied.

F1 · balance_after: On September 18, 2017, the reporting person was granted an option to purchase 100,000 shares of common stock. The grant of these options was contingent upon shareholder approval of an amendment to MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan (the "Plan") at the Company's 2018 Annual Meeting of Shareholders, increasing the total number of shares available for grant and an increase to the evergreen provision of the Plan. Such shareholder approval was obtained at the Company's 2018 Annual Meeting of Shareholders on April 4, 2018. The option vests in ten installments based on the reporting person's satisfaction of certain performance criteria. One of the ten milestones have been satisfied.

SEC source: 0001615774-18-003639 · s110117_form4a.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 2027-09-18

F1 · shares: On September 18,2017, the reporting person was granted an option to purchase 18,000 shares of common stock. The grant of these options was contingent upon shareholder approval of an amendment to MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan (the "Plan") at the Company's 2018 Annual Meeting of Shareholders, increasing the total number of shares available for grant and an increase to the evergreen provision of the Plan. Such shareholder approval was obtained at the Company's 2018 Annual Meeting of Shareholders on April 4, 2018.The option vests in four equal installments based on the reporting person's satisfaction of certain performance criteria. The performance criteria for three of the four installments have been met, resulting in the vesting of an option to purchase 13,500 shares of common stock, as of the date of this filing.

F1 · balance_after: On September 18,2017, the reporting person was granted an option to purchase 18,000 shares of common stock. The grant of these options was contingent upon shareholder approval of an amendment to MYnd Analytics, Inc. Amended and Restated 2012 Omnibus Incentive Compensation Plan (the "Plan") at the Company's 2018 Annual Meeting of Shareholders, increasing the total number of shares available for grant and an increase to the evergreen provision of the Plan. Such shareholder approval was obtained at the Company's 2018 Annual Meeting of Shareholders on April 4, 2018.The option vests in four equal installments based on the reporting person's satisfaction of certain performance criteria. The performance criteria for three of the four installments have been met, resulting in the vesting of an option to purchase 13,500 shares of common stock, as of the date of this filing.

SEC source: 0001615774-17-004693 · s107301_form4.xml · derivative · entry 2

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 2027-08-21

F3 · date: The award ("Option Grant 2") was granted, and approved by the board of directors of the Registrant, subject to stockholder approval of an amendment to a provision of the Registrant's Plan, pursuant to the Agreement. The Registrant's stockholders approved the amendment to the provision of the Plan on August 21, 2017.

SEC source: 0001615774-17-004693 · s107301_form4.xml · derivative · entry 1

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 2027-07-14

F1 · date: The award ("Option Grant 1") 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 August 21, 2017.

F2 · derivative.exercise_date: Option Grant 1 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: 0001615774-17-004226 · s107135_form4.xml · nonDerivative · entry 1

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 541,290

SEC source: 0001615774-17-004228 · s107131_form4.xml · derivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 8,000 shares

Expires 2026-09-22

F1 · balance_after: On September 22, 2016, the reporting person was granted an option to purchase 40,000 shares of common stock. The option vests in five equal installments based on the reporting person's satisfaction of certain performance criteria. As previously reported, the performance criteria for the first, second, third and fourth installments were met, resulting in the vesting of the option as to 32,000 shares. On August 8, 2017, the performance criterion for the final installment was met, resulting in the vesting of the option as to the remaining 8,000 shares.

SEC source: 0001615774-17-004227 · s107132_form4.xml · derivative · entry 1

Carpenter George C IV · CIK 0001413989 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,000

Underlying: Common Stock · 8,000 shares

Expires 2026-09-22

F1 · balance_after: On September 22, 2016, the reporting person was granted an option to purchase 32,000 shares of common stock. The option vests in four equal installments based on the reporting person's satisfaction of certain performance criteria. As previously reported, the performance criteria for the first, second and third installments were met, resulting in the vesting of the option as to 24,000 shares. On August 8, 2017, the performance criterion for the final installment was met, resulting in the vesting of the option as to the remaining 8,000 shares.

F2 · ownership.direct: Securities are held in the name of George and Jill Carpenter.

SEC source: 0001615774-17-004052 · s107025_form4.xml · nonDerivative · entry 1

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 536,290

SEC source: 0001615774-17-003843 · s106916_form4.xml · nonDerivative · entry 1

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 531,290

SEC source: 0001615774-17-003801 · s106893_form4.xml · nonDerivative · entry 2

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 526,290

SEC source: 0001615774-17-003801 · s106893_form4.xml · nonDerivative · entry 1

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 521,290

SEC source: 0001615774-17-003722 · s106856_form4.xml · nonDerivative · entry 2

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 516,290

SEC source: 0001615774-17-003722 · s106856_form4.xml · nonDerivative · entry 1

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 511,290

SEC source: 0001615774-17-003709 · s106848_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 · 3,000 shares

Expires 2027-03-31

F1 · balance_after: In March 2017, the reporting person was granted an option to purchase 18,000 shares of common stock (the "Option Grant"). As previously reported, the Option Grant vests as to 15,000 shares in 36 equal monthly installments from March 31, 2017. Vesting of the Option Grant as to the remaining 3,000 shares was subject to satisfaction by the issuer of a performance condition. The performance condition was met on July 14, 2017, resulting in vesting of the Option Grant as to the remaining 3,000 shares.

SEC source: 0001615774-17-003707 · s106847_form4.xml · derivative · entry 3

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,000

Underlying: Common Stock · 8,000 shares

Expires 2026-09-22

F2 · balance_after: On September 22, 2016, the reporting person was granted an option to purchase 40,000 shares of common stock. The option vests in five equal installments based on the reporting person's satisfaction of certain performance criteria. As previously reported, the performance criteria for the first and second installments were met, resulting in the vesting of the option as to 16,000 shares. On November 7, 2016 and July 14, 2017, the performance criteria for the third and fourth installments, respectively, were met, resulting in the vesting of the option as to 8,000 shares on each of the aforementioned dates.

SEC source: 0001615774-17-003707 · s106847_form4.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,526

F1 · shares: The registrant agreed to pay the associated taxes, federal and state, for this award.

SEC source: 0001615774-17-001542 · s105823_form4.xml · nonDerivative · entry 1

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 506,290

SEC source: 0001615774-17-001494 · s105793_form4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2027-03-31

F1 · derivative.exercise_date: The option vests in 36 equal monthly installments from March 31, 2017.

SEC source: 0001615774-17-001186 · s105635_form4.xml · nonDerivative · entry 1

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 496,412

F1 · kind: Purchased in a private placement of securities by the issuer.

SEC source: 0001615774-17-001188 · s105639_form4.xml · nonDerivative · entry 1

RSJ Investments SICAV a.s. · CIK 0001682250 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 625,704

F1 · kind: Acquired by the Reporting Person in a private placement of securities by the Issuer.

SEC source: 0001615774-17-000892 · s105482_form4.xml · nonDerivative · entry 1

Harris Geoffrey E. · CIK 0001611395 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,558

F1 · kind: Purchased in a private placement of securities by the issuer.

SEC source: 0001615774-17-000591 · s105338_form4.xml · nonDerivative · entry 1

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 456,412

F1 · kind: Purchased in a private placement of securities by the issuer.

SEC source: 0001615774-16-009121 · s105051_form4.xml · nonDerivative · entry 1

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 424,412

F1 · kind: Purchased in a private placement of securities by the issuer.

SEC source: 0001615774-16-008922 · s104955_form4.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,526

SEC source: 0001615774-16-008691 · s104848_robinsmith.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,526

F1 · kind: Purchased in a private placement of securities by the issuer.

SEC source: 0001615774-16-008689 · s104848_tierney.xml · nonDerivative · entry 1

TIERNEY THOMAS T · CIK 0001571328 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Trust

Disclosed balance after: 216,345

F1 · kind: Purchased in a private placement of securities by the issuer.

F2 · ownership.nature: Securities are held in the name of the Thomas T. and Elizabeth C. Tierney Family Trust of which Mr. Tierney is a trustee.

SEC source: 0001615774-16-008687 · s104848_johnpappajohn.xml · nonDerivative · entry 1

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 408,412

F1 · kind: Purchased in a private placement of securities by the issuer.

SEC source: 0001615774-17-003711 · s106849_form4.xml · derivative · entry 1

Carpenter George C IV · CIK 0001413989 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 8,000 shares

Expires 2026-09-22

F1 · balance_after: On September 22, 2016, the reporting person was granted an option to purchase 32,000 shares of common stock. The option vests in four equal installments based on the reporting person's satisfaction of certain performance criteria. As previously reported, the performance criteria for the first and second installments were met, resulting in the vesting of the option as to 16,000 shares. On November 7, 2016, the performance criterion for the third installment was met, resulting in the vesting of the option as to 8,000 shares.

F2 · ownership.direct: Securities are held in the name of George and Jill Carpenter.

SEC source: 0001615774-17-003707 · s106847_form4.xml · derivative · entry 2

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 8,000 shares

Expires 2026-09-22

F2 · balance_after: On September 22, 2016, the reporting person was granted an option to purchase 40,000 shares of common stock. The option vests in five equal installments based on the reporting person's satisfaction of certain performance criteria. As previously reported, the performance criteria for the first and second installments were met, resulting in the vesting of the option as to 16,000 shares. On November 7, 2016 and July 14, 2017, the performance criteria for the third and fourth installments, respectively, were met, resulting in the vesting of the option as to 8,000 shares on each of the aforementioned dates.

SEC source: 0001615774-16-007979 · s104517_form4.xml · nonDerivative · entry 1

FOLLMAN ROBERT J · CIK 0001571326 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · date: The award was recommended by the compensation committee and approved by the board of directors of MYnd Analytics, Inc. (the "Registrant") on September 22, 2016, subject to stockholder approval of the Amended and Restated 2012 Omnibus Incentive Compensation Plan (the "Plan") under which the award was granted. The Registrant's stockholders approved the Plan on November 1, 2016.

SEC source: 0001615774-16-007992 · s104519_form4.xml · nonDerivative · entry 1

PAPPAJOHN JOHN · CIK 0000897464 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 376,412

F1 · date: The award was recommended by the compensation committee and approved by the board of directors of MYnd Analytics, Inc. (the "Registrant") on September 22, 2016, subject to stockholder approval of the Amended and Restated 2012 Omnibus Incentive Compensation Plan (the "Plan") under which the award was granted. The Registrant's stockholders approved the Plan on November 1, 2016.

SEC source: 0001615774-16-007989 · s104253_form4.xml · derivative · entry 1

McAdoo Zachary · CIK 0001474427 · Former Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2026-09-22

F1 · date: The option grant was recommended by the compensation committee and approved by the board of directors of MYnd Analytics, Inc. (the "Registrant") on September 22, 2016, subject to stockholder approval of the Amended and Restated 2012 Omnibus Incentive Compensation Plan (the "Plan") under which the option was granted. The Registrant's stockholders approved the Plan on November 1, 2016.

SEC source: 0001615774-16-007987 · s104522_form4.xml · derivative · entry 1

Buck Paul · CIK 0001484859 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2026-09-22

F1 · date: The option grant was recommended by the compensation committee and approved by the board of directors of MYnd Analytics, Inc. (the "Registrant") on September 22, 2016, subject to stockholder approval of the Amended and Restated 2012 Omnibus Incentive Compensation Plan (the "Plan") under which the option was granted. The Registrant's stockholders approved the Plan on November 1, 2016.

F2 · shares: On September 22, 2016 the reporting person was granted an option to purchase 32,000 shares of common stock. The option vests in four equal installments based on the reporting person's satisfaction of certain performance criteria. The performance criteria for the first and second installments were met, resulting in the vesting of the option as to 16,000 shares.