Carpenter George C IV

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: 0001615774-18-010699 · 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: 0001615774-18-010304 · 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: 0001615774-18-004578 · 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: 0001615774-17-006925 · 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: 0001615774-18-003641 · 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: 0001615774-17-004227 · 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: 0001615774-17-003711 · 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: 0001615774-16-007977 · s104516_form4.xml · derivative · entry 1

Carpenter George C IV · CIK 0001413989 · Chief Executive 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.

F3 · ownership.direct: Securities are held in the name of George and Jill Carpenter.

SEC source: 0001615774-16-007356 · s104193_form4.xml · derivative · entry 3

Carpenter George C IV · CIK 0001413989 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 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.

F5 · 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.

F5 · 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.

F6 · derivative.exercise_date: The Common Stock Warrants were exercisable as of their respective dates of issuance.

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

SEC source: 0001615774-16-007356 · s104193_form4.xml · derivative · entry 2

Carpenter George C IV · CIK 0001413989 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 20,254 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.

F3 · reported_value: Two notes in the aggregate principal amount of $100,000 were purchased by the Reporting Person on May 4, 2016 and August 3, 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. These notes were convertible by the Reporting Person starting December 16, 2017 through December 31, 2017.

F4 · 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 $100,000 in aggregate principal amount of the Reporting Person's notes, with accrued interest thereon of $1267.12, at a conversion price of $5.00 per share of common stock.

F3 · price: Two notes in the aggregate principal amount of $100,000 were purchased by the Reporting Person on May 4, 2016 and August 3, 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. These notes were convertible by the Reporting Person starting December 16, 2017 through December 31, 2017.

F4 · 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 $100,000 in aggregate principal amount of the Reporting Person's notes, with accrued interest thereon of $1267.12, at a conversion price of $5.00 per share of common stock.

F3 · derivative.exercise_date: Two notes in the aggregate principal amount of $100,000 were purchased by the Reporting Person on May 4, 2016 and August 3, 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. These notes were convertible by the Reporting Person starting December 16, 2017 through December 31, 2017.

F4 · 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 $100,000 in aggregate principal amount of the Reporting Person's notes, with accrued interest thereon of $1267.12, at a conversion price of $5.00 per share of common stock.

F3 · derivative.underlying_shares: Two notes in the aggregate principal amount of $100,000 were purchased by the Reporting Person on May 4, 2016 and August 3, 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. These notes were convertible by the Reporting Person starting December 16, 2017 through December 31, 2017.

F4 · 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 $100,000 in aggregate principal amount of the Reporting Person's notes, with accrued interest thereon of $1267.12, at a conversion price of $5.00 per share of common stock.

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

SEC source: 0001615774-16-007356 · s104193_form4.xml · nonDerivative · entry 1

Carpenter George C IV · CIK 0001413989 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,208

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