Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Emmaus Life Sciences, Inc.MYND · Entity 205 | Director | October 08, 2018 | October 11, 2018 |
| Telemynd, Inc.NONE · Entity 155932 | Director | July 16, 2019 | July 18, 2019 |
| Vyant Bio, Inc.VYNT · Entity 116415 | Director | January 17, 2023 | January 19, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Emmaus Life Sciences, Inc.
Report date October 08, 2018 · Filed October 11, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 97,110 |
Reported balance
After 2018-10-08 transaction · row 1
1 source rowRow 1 · 2018-10-08 · Grant · Acquired 45,000 · Balance 97,110 F1: The above restricted shares were granted under Mynd Analytics, Inc.'s (the "Company") Amended and Restated 2012 Omnibus Incentive Compensation Plan and vest quarterly. |
Filing footnotes · ownership attribution and instrument terms
F1: The above restricted shares were granted under Mynd Analytics, Inc.'s (the "Company") Amended and Restated 2012 Omnibus Incentive Compensation Plan and vest quarterly.
Telemynd, Inc.
Report date July 16, 2019 · Filed July 18, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 97,110 |
Reported balance
After 2019-07-16 transaction · row 1
1 source rowRow 1 · 2019-07-16 · Other · Acquired 97,110 · Balance 97,110 F1: Telemynd, Inc. ("Telemynd") was formerly a wholly-owned subsidiary of MYnd Analytics, Inc. ("MYnd"). On July 15, 2019, pursuant to the Amended and Restated Separation and Distribution Agreement, dated as of March 27, 2019, between MYnd and Telemynd, the Reporting Person received a pro rata distribution of common stock of Telemynd. |
Filing footnotes · ownership attribution and instrument terms
F1: Telemynd, Inc. ("Telemynd") was formerly a wholly-owned subsidiary of MYnd Analytics, Inc. ("MYnd"). On July 15, 2019, pursuant to the Amended and Restated Separation and Distribution Agreement, dated as of March 27, 2019, between MYnd and Telemynd, the Reporting Person received a pro rata distribution of common stock of Telemynd.
Vyant Bio, Inc.
Report date January 17, 2023 · Filed January 19, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.0001 par valueSEC Table I · non-derivative | Direct | 19,761 |
Reported balance
After 2023-01-17 transaction · row 1
1 source rowRow 1 · 2023-01-17 · Grant · Acquired 5,712 · Balance 19,761 F1: On January 17, 2023, the Reporting Person was granted 5,712 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units fully vest on January 17, 2024, so long as Reporting Person remains a director through that date. |
Filing footnotes · ownership attribution and instrument terms
F1: On January 17, 2023, the Reporting Person was granted 5,712 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units fully vest on January 17, 2024, so long as Reporting Person remains a director through that date.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 17, 2023 Filed Jan 19, 2023 16:30 UTC | Vyant Bio, Inc. VYNT · Entity 116415 | GrantCommon Stock, $0.0001 par value | 5,712 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-23-001918 · ownership.xml · nonDerivative · entry 1 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,761 F1 · shares: On January 17, 2023, the Reporting Person was granted 5,712 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units fully vest on January 17, 2024, so long as Reporting Person remains a director through that date. F1 · price: On January 17, 2023, the Reporting Person was granted 5,712 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units fully vest on January 17, 2024, so long as Reporting Person remains a director through that date. Read SEC document |
| November 18, 2022 Filed Nov 22, 2022 16:03 UTC | Vyant Bio, Inc. VYNT · Entity 116415 | SaleCommon Stock, $0.0001 par value | 666 | $1.33 | $888.44 |
DisclosureSEC source: 0001493152-22-033340 · ownership.xml · nonDerivative · entry 2 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,019 Read SEC document |
| November 18, 2022 Filed Nov 22, 2022 16:03 UTC | Vyant Bio, Inc. VYNT · Entity 116415 | SaleCommon Stock, $0.0001 par value | 99 | $1.34 | $132.67 |
DisclosureSEC source: 0001493152-22-033340 · ownership.xml · nonDerivative · entry 1 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,685 Read SEC document |
| October 17, 2022 Filed Oct 19, 2022 09:00 UTC | Vyant Bio, Inc. VYNT · Entity 116415 | GrantCommon Stock, $0.0001 par value | 10,841 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-22-028717 · ownership.xml · nonDerivative · entry 1 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,920 F1 · shares: On October 17, 2022, the Reporting Person was granted 10,841 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units fully vest on October 17, 2023, so long as Reporting Person remains a director though that date. F1 · price: On October 17, 2022, the Reporting Person was granted 10,841 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units fully vest on October 17, 2023, so long as Reporting Person remains a director though that date. Read SEC document |
| July 18, 2022 Filed Jul 29, 2022 16:59 UTC | Vyant Bio, Inc. VYNT · Entity 116415 | GrantCommon Stock, $0.0001 par value | 6,141 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-22-020760 · ownership.xml · nonDerivative · entry 1 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,079 F1 · shares: On July 18, 2022, the Reporting Person was granted 6,141 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units fully vest on July 18, 2023, so long as Reporting Person remains a director though that date. F1 · price: On July 18, 2022, the Reporting Person was granted 6,141 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units fully vest on July 18, 2023, so long as Reporting Person remains a director though that date. Read SEC document |
| April 18, 2022 Filed Apr 19, 2022 19:36 UTC | Vyant Bio, Inc. VYNT · Entity 116415 | GrantCommon Stock, $0.0001 par value | 5,157 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-22-010475 · ownership.xml · nonDerivative · entry 1 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,938 F1 · shares: On April 18, 2022, the Reporting Person was granted 5,157 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units fully vest on April 18, 2023, so long as Reporting Person remains a director though that date. F1 · price: On April 18, 2022, the Reporting Person was granted 5,157 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units fully vest on April 18, 2023, so long as Reporting Person remains a director though that date. Read SEC document |
| March 30, 2022 Filed Apr 1, 2022 16:30 UTC | Vyant Bio, Inc. VYNT · Entity 116415 | GrantCommon Stock, $0.0001 par value | 43,478 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-22-008829 · ownership.xml · nonDerivative · entry 1 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,781 F1 · shares: On March 30, 2022, the Reporting Person was granted 43,478restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units fully vest on March 30, 2023, so long as Reporting Person remains a director though that date. F1 · price: On March 30, 2022, the Reporting Person was granted 43,478restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units fully vest on March 30, 2023, so long as Reporting Person remains a director though that date. Read SEC document |
| January 18, 2022 Filed Jan 20, 2022 21:23 UTC | Vyant Bio, Inc. VYNT · Entity 116415 | GrantCommon Stock, $0.0001 par value | 4,055 | $1.31 | $5,312.05 |
DisclosureSEC source: 0001493152-22-001793 · ownership.xml · nonDerivative · entry 1 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,303 F1 · shares: On January 18, 2022, the Reporting Person was granted 4,055 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units fully vest on January 17, 2023, so long as Reporting Person remains a director though that date. Read SEC document |
| March 30, 2021 Filed Apr 1, 2021 21:27 UTC | Vyant Bio, Inc. VYNT · Entity 116415 | GrantStock option (right to buy) · Derivative | 13,015 | $0.00 Strike: $4.61 | $0.00 |
DisclosureSEC source: 0001493152-21-007811 · ownership.xml · derivative · entry 1 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,015 Underlying: Common Stock · 13,015 shares Expires 2031-03-30 Read SEC document |
| July 23, 2019 Filed Aug 19, 2019 16:18 UTC | Vyant Bio, Inc. CGIX · Entity 116415 | GrantStock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $0.15 | $0.00 |
DisclosureSEC source: 0000905718-19-000704 · ownership.xml · derivative · entry 1 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock, par value $0.0001 per share · 100,000 shares Expires 2029-07-23 F1 · derivative.exercise_date: The options vest monthly in twelve equal installments beginning on August 23, 2019. Read SEC document |
| July 16, 2019 Filed Jul 18, 2019 18:47 UTC | Telemynd, Inc. NONE · Entity 155932 | OtherCommon Stock | 97,110 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-19-013141 · ownership.xml · nonDerivative · entry 1 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,110 F1 · shares: Telemynd, Inc. ("Telemynd") was formerly a wholly-owned subsidiary of MYnd Analytics, Inc. ("MYnd"). On July 15, 2019, pursuant to the Amended and Restated Separation and Distribution Agreement, dated as of March 27, 2019, between MYnd and Telemynd, the Reporting Person received a pro rata distribution of common stock of Telemynd. F1 · price: Telemynd, Inc. ("Telemynd") was formerly a wholly-owned subsidiary of MYnd Analytics, Inc. ("MYnd"). On July 15, 2019, pursuant to the Amended and Restated Separation and Distribution Agreement, dated as of March 27, 2019, between MYnd and Telemynd, the Reporting Person received a pro rata distribution of common stock of Telemynd. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 16:47 UTC | Vyant Bio, Inc. CGIX · Entity 116415 | PurchaseCommon Stock, par value $0.0001 per share | 100,000 | $0.23 | $22,500.00 |
DisclosureSEC source: 0000905718-19-000057 · cancer_fm4jan142019.xml · nonDerivative · entry 1 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,500 Read SEC document |
| October 08, 2018 Filed Oct 11, 2018 00:04 UTC | Emmaus Life Sciences, Inc. MYND · Entity 205 | GrantCOMMON STOCK | 45,000 | $1.38 | $62,100.00 |
DisclosureSEC 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. Read SEC document |
| December 06, 2017 Filed Dec 7, 2017 21:06 UTC | Emmaus Life Sciences, Inc. MYND · Entity 205 | PurchaseCommon Stock | 3,500 | $3.80 | $13,300.00 |
DisclosureSEC 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 Read SEC document |
| December 06, 2017 Filed Dec 7, 2017 21:06 UTC | Emmaus Life Sciences, Inc. MYND · Entity 205 | PurchaseCommon Stock | 1,000 | $3.85 | $3,850.00 |
DisclosureSEC 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 Read SEC document |
| December 05, 2017 Filed Dec 7, 2017 21:06 UTC | Emmaus Life Sciences, Inc. MYND · Entity 205 | PurchaseCommon Stock | 52 | $3.60 | $187.20 |
DisclosureSEC 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 Read SEC document |
| September 28, 2017 Filed Oct 2, 2017 17:03 UTC | Vyant Bio, Inc. CGIX · Entity 116415 | GrantStock Option (right to buy) · Derivative | 5,000 | $0.00 Strike: $2.75 | $0.00 |
DisclosureSEC source: 0001349929-17-000077 · wf-form4_150697820661484.xml · derivative · entry 2 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock, par value $0.0001 per share · 5,000 shares Expires 2027-09-28 F2 · derivative.exercise_date: The option vests in two equal installments on September 28, 2018 and September 28, 2019, respectively. Read SEC document |
| September 28, 2017 Filed Oct 2, 2017 17:03 UTC | Vyant Bio, Inc. CGIX · Entity 116415 | GrantCommon Stock, par value $0.0001 per share | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001349929-17-000077 · wf-form4_150697820661484.xml · nonDerivative · entry 1 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,500 F1 · shares: The restricted stock underlying the award vests in two equal installments on September 28, 2018 and September 28, 2019, respectively. Read SEC document |
| September 19, 2017 Filed Sep 21, 2017 19:57 UTC | Emmaus Life Sciences, Inc. MYND · Entity 205 | GrantDirector Stock Option (right to buy) · Derivative | 18,000 | $0.00 Strike: $3.60 | $0.00 |
DisclosureSEC 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. Read SEC document |
| September 19, 2017 Filed Sep 21, 2017 19:57 UTC | Emmaus Life Sciences, Inc. MYND · Entity 205 | GrantCommon Stock | 18,000 | $0.00 | $0.00 |
DisclosureSEC 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 Read SEC document |
| June 07, 2017 Filed Jun 8, 2017 16:36 UTC | Vyant Bio, Inc. CGIX · Entity 116415 | GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $4.15 | $0.00 |
DisclosureSEC source: 0001349929-17-000051 · wf-form4_149695419441783.xml · derivative · entry 2 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock, par value $0.0001 per share · 10,000 shares Expires 2027-06-07 F2 · derivative.exercise_date: The option vests in two equal installments on June 7, 2018 and June 7, 2019, respectively. Read SEC document |
| June 07, 2017 Filed Jun 8, 2017 16:36 UTC | Vyant Bio, Inc. CGIX · Entity 116415 | GrantCommon Stock, par value $0.0001 per share | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001349929-17-000051 · wf-form4_149695419441783.xml · nonDerivative · entry 1 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 F1 · shares: The restricted stock underlying the award vests in two equal installments on June 7, 2018 and June 7, 2019, respectively. Read SEC document |
| May 16, 2017 Filed May 16, 2017 16:41 UTC | Vyant Bio, Inc. CGIX · Entity 116415 | PurchaseCommon Stock, par value $0.0001 per share | 2,500 | $3.75 | $9,375.00 |
DisclosureSEC source: 0001349929-17-000033 · wf-form4_149496724738548.xml · nonDerivative · entry 1 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,500 Read SEC document |
| March 03, 2017 Filed Mar 4, 2017 00:05 UTC | Emmaus Life Sciences, Inc. MYAN · Entity 205 | GrantCommon Stock | 5,000 | $6.25 | $31,250.00 |
DisclosureSEC 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. Read SEC document |
| December 14, 2016 Filed Dec 14, 2016 16:06 UTC | Vyant Bio, Inc. CGIX · Entity 116415 | PurchaseCommon Stock, par value $0.0001 per share | 2,500 | $1.50 | $3,750.00 |
DisclosureSEC source: 0001349929-16-000136 · wf-form4_148174956163478.xml · nonDerivative · entry 1 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 16:09 UTC | Vyant Bio, Inc. CGIX · Entity 116415 | PurchaseCommon Stock, par value $0.0001 per share | 5,000 | $1.55 | $7,750.00 |
DisclosureSEC source: 0001349929-16-000132 · wf-form4_147933052048672.xml · nonDerivative · entry 1 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Read SEC document |
| November 01, 2016 Filed Nov 3, 2016 01:13 UTC | Emmaus Life Sciences, Inc. MYAN · Entity 205 | GrantCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001615774-16-007985 · s104521.xml · nonDerivative · entry 1 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,558 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. Read SEC document |
| October 11, 2016 Filed Oct 13, 2016 16:29 UTC | Vyant Bio, Inc. CGIX · Entity 116415 | GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $1.81 | $0.00 |
DisclosureSEC source: 0001349929-16-000117 · wf-form4_147639056477757.xml · derivative · entry 2 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock, par value $0.0001 per share · 10,000 shares Expires 2026-10-11 F2 · derivative.exercise_date: The option vests in two equal installments on October 11, 2017 and October 11, 2018, respectively. Read SEC document |
| October 11, 2016 Filed Oct 13, 2016 16:29 UTC | Vyant Bio, Inc. CGIX · Entity 116415 | GrantCommon Stock, par value $0.0001 per share | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001349929-16-000117 · wf-form4_147639056477757.xml · nonDerivative · entry 1 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 F1 · shares: The restricted stock underlying the award vests in two equal installments on October 11, 2017 and October 11, 2018, respectively. Read SEC document |
| September 21, 2016 Filed Sep 23, 2016 22:06 UTC | Emmaus Life Sciences, Inc. CNSO · Entity 205 | Disposition to issuerCommon Stock Warrant · Derivative | Not disclosed | Not disclosed Strike: $10.00 | $10,000.00 |
DisclosureSEC source: 0001615774-16-007354 · s104196_form4.xml · derivative · entry 3 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,000 shares Expires 2020-12-31 F1 · security: All information provided herein has been adjusted where necessary to give effect to the 1-for-200 reverse stock split effected on September 21, 2016. F4 · kind: The Amendment provided that upon the conversion of the notes issued pursuant to the Note and Warrant Purchase Agreement, which was caused by the Issuer on September 21, 2016, all warrants issued pursuant to the Note and Warrant Purchase Agreement would be cancelled. F4 · price: The Amendment provided that upon the conversion of the notes issued pursuant to the Note and Warrant Purchase Agreement, which was caused by the Issuer on September 21, 2016, all warrants issued pursuant to the Note and Warrant Purchase Agreement would be cancelled. F5 · derivative.exercise_date: The Common Stock Warrant was exercisable as of its date of issuance. Read SEC document |
| September 21, 2016 Filed Sep 23, 2016 22:06 UTC | Emmaus Life Sciences, Inc. CNSO · Entity 205 | Exercise / conversion5% Secured Convertible Note due December 2017 · Derivative | Not disclosed | Not disclosed Strike: $5.00 | $10,000.00 |
DisclosureSEC source: 0001615774-16-007354 · s104196_form4.xml · derivative · entry 2 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 2,058 shares Expires 2017-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: All information provided herein has been adjusted where necessary to give effect to the 1-for-200 reverse stock split effected on September 21, 2016. F2 · reported_value: One note in the aggregate principal amount of $10,000 was purchased by the Reporting Person on February 23, 2016 pursuant to a Note and Warrant Purchase Agreement, dated as of September 22, 2014, as amended (the "Note and Warrant Purchase Agreement"), between the Issuer and the investors party thereto. This note was convertible by the Reporting Person starting December 16, 2017 through December 31, 2017. F3 · reported_value: On September 19, 2016, the Issuer entered into a Second Omnibus Amendment (the "Amendment") between the Issuer and the investors party thereto, to the Note and Warrant Purchase Agreement, which granted the Issuer the option, exercisable at any time after September 1, 2016, to mandatorily convert all notes issued pursuant to the Note and Warrant Purchase Agreement into shares of the Issuer's common stock at $5.00 per share (subject to certain adjustments) (the "Mandatory Conversion"). On September 19, 2016, the Issuer exercised its Mandatory Conversion option under the Amendment, and on September 21, 2016 caused the conversion of $10,000 in aggregate principal amount of the Reporting Person's note, with accrued interest thereon of $286.30, at a conversion price of $5.00 per share of common stock. F2 · price: One note in the aggregate principal amount of $10,000 was purchased by the Reporting Person on February 23, 2016 pursuant to a Note and Warrant Purchase Agreement, dated as of September 22, 2014, as amended (the "Note and Warrant Purchase Agreement"), between the Issuer and the investors party thereto. This note was convertible by the Reporting Person starting December 16, 2017 through December 31, 2017. F3 · price: On September 19, 2016, the Issuer entered into a Second Omnibus Amendment (the "Amendment") between the Issuer and the investors party thereto, to the Note and Warrant Purchase Agreement, which granted the Issuer the option, exercisable at any time after September 1, 2016, to mandatorily convert all notes issued pursuant to the Note and Warrant Purchase Agreement into shares of the Issuer's common stock at $5.00 per share (subject to certain adjustments) (the "Mandatory Conversion"). On September 19, 2016, the Issuer exercised its Mandatory Conversion option under the Amendment, and on September 21, 2016 caused the conversion of $10,000 in aggregate principal amount of the Reporting Person's note, with accrued interest thereon of $286.30, at a conversion price of $5.00 per share of common stock. F2 · derivative.exercise_date: One note in the aggregate principal amount of $10,000 was purchased by the Reporting Person on February 23, 2016 pursuant to a Note and Warrant Purchase Agreement, dated as of September 22, 2014, as amended (the "Note and Warrant Purchase Agreement"), between the Issuer and the investors party thereto. This note was convertible by the Reporting Person starting December 16, 2017 through December 31, 2017. F3 · derivative.exercise_date: On September 19, 2016, the Issuer entered into a Second Omnibus Amendment (the "Amendment") between the Issuer and the investors party thereto, to the Note and Warrant Purchase Agreement, which granted the Issuer the option, exercisable at any time after September 1, 2016, to mandatorily convert all notes issued pursuant to the Note and Warrant Purchase Agreement into shares of the Issuer's common stock at $5.00 per share (subject to certain adjustments) (the "Mandatory Conversion"). On September 19, 2016, the Issuer exercised its Mandatory Conversion option under the Amendment, and on September 21, 2016 caused the conversion of $10,000 in aggregate principal amount of the Reporting Person's note, with accrued interest thereon of $286.30, at a conversion price of $5.00 per share of common stock. F2 · derivative.underlying_shares: One note in the aggregate principal amount of $10,000 was purchased by the Reporting Person on February 23, 2016 pursuant to a Note and Warrant Purchase Agreement, dated as of September 22, 2014, as amended (the "Note and Warrant Purchase Agreement"), between the Issuer and the investors party thereto. This note was convertible by the Reporting Person starting December 16, 2017 through December 31, 2017. F3 · derivative.underlying_shares: On September 19, 2016, the Issuer entered into a Second Omnibus Amendment (the "Amendment") between the Issuer and the investors party thereto, to the Note and Warrant Purchase Agreement, which granted the Issuer the option, exercisable at any time after September 1, 2016, to mandatorily convert all notes issued pursuant to the Note and Warrant Purchase Agreement into shares of the Issuer's common stock at $5.00 per share (subject to certain adjustments) (the "Mandatory Conversion"). On September 19, 2016, the Issuer exercised its Mandatory Conversion option under the Amendment, and on September 21, 2016 caused the conversion of $10,000 in aggregate principal amount of the Reporting Person's note, with accrued interest thereon of $286.30, at a conversion price of $5.00 per share of common stock. Read SEC document |
| September 21, 2016 Filed Sep 23, 2016 22:06 UTC | Emmaus Life Sciences, Inc. CNSO · Entity 205 | Exercise / conversionCommon Stock | 2,058 | $5.00 | $10,290.00 |
DisclosureSEC source: 0001615774-16-007354 · s104196_form4.xml · nonDerivative · entry 1 Harris Geoffrey E. · CIK 0001611395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,558 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: All information provided herein has been adjusted where necessary to give effect to the 1-for-200 reverse stock split effected on September 21, 2016. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.