Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Emmaus Life Sciences, Inc.MYAN · Entity 205 | Director | November 01, 2016 | November 03, 2016 |
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 November 01, 2016 · Filed November 03, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 20,000 |
Reported balance
After 2016-11-01 transaction · row 1
1 source rowRow 1 · 2016-11-01 · Grant · Acquired 20,000 · Balance 20,000 F1: 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. |
| Common StockSEC Table I · non-derivative | IndirectTrust | 147,781 |
Reported balance
Holding disclosure · report date 2016-11-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 147,781 F2: Securities are held in the Declaration of Trust of Robert J. Follman and Carole A. Follman dated August 14, 1979, of which Mr. Follman is a trustee. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: Securities are held in the Declaration of Trust of Robert J. Follman and Carole A. Follman dated August 14, 1979, of which Mr. Follman is a trustee.
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 |
|---|---|---|---|---|---|---|
| November 01, 2016 Filed Nov 3, 2016 01:07 UTC | Emmaus Life Sciences, Inc. MYAN · Entity 205 | GrantCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| September 21, 2016 Filed Sep 23, 2016 22:07 UTC | Emmaus Life Sciences, Inc. CNSO · Entity 205 | Disposition to issuerCommon Stock Warrant · Derivative | Not disclosed | Not disclosed Strike: $10.00 | $550,000.00 |
DisclosureSEC source: 0001615774-16-007357 · s104198_from4.xml · derivative · entry 3 FOLLMAN ROBERT J · CIK 0001571326 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Trust Disclosed balance after: 0 Underlying: Common Stock · 55,000 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.nature: Securities are held in the Declaration of Trust of Robert J. Follman and Carole A. Follman dated August 14, 1979, of which Mr. Follman is a trustee. Read SEC document |
| September 21, 2016 Filed Sep 23, 2016 22:07 UTC | Emmaus Life Sciences, Inc. CNSO · Entity 205 | Exercise / conversion5% Secured Convertible Note due December 2017 · Derivative | Not disclosed | Not disclosed Strike: $5.00 | $550,000.00 |
DisclosureSEC source: 0001615774-16-007357 · s104198_from4.xml · derivative · entry 2 FOLLMAN ROBERT J · CIK 0001571326 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Trust Disclosed balance after: Not disclosed Underlying: Common Stock · 114,074 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: Four notes in the aggregate principal amount of $550,000 were purchased by the Reporting Person between March 17, 2015 and August 10, 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 $550,000 in aggregate principal amount of the Reporting Person's notes, with accrued interest thereon of $20,366.10, at a conversion price of $5.00 per share of common stock. F3 · price: Four notes in the aggregate principal amount of $550,000 were purchased by the Reporting Person between March 17, 2015 and August 10, 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 $550,000 in aggregate principal amount of the Reporting Person's notes, with accrued interest thereon of $20,366.10, at a conversion price of $5.00 per share of common stock. F3 · derivative.exercise_date: Four notes in the aggregate principal amount of $550,000 were purchased by the Reporting Person between March 17, 2015 and August 10, 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 $550,000 in aggregate principal amount of the Reporting Person's notes, with accrued interest thereon of $20,366.10, at a conversion price of $5.00 per share of common stock. F3 · derivative.underlying_shares: Four notes in the aggregate principal amount of $550,000 were purchased by the Reporting Person between March 17, 2015 and August 10, 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 $550,000 in aggregate principal amount of the Reporting Person's notes, with accrued interest thereon of $20,366.10, at a conversion price of $5.00 per share of common stock. F2 · ownership.nature: Securities are held in the Declaration of Trust of Robert J. Follman and Carole A. Follman dated August 14, 1979, of which Mr. Follman is a trustee. Read SEC document |
| September 21, 2016 Filed Sep 23, 2016 22:07 UTC | Emmaus Life Sciences, Inc. CNSO · Entity 205 | Exercise / conversionCommon Stock | 114,074 | $5.00 | $570,370.00 |
DisclosureSEC source: 0001615774-16-007357 · s104198_from4.xml · nonDerivative · entry 1 FOLLMAN ROBERT J · CIK 0001571326 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Trust Disclosed balance after: 147,781 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.nature: Securities are held in the Declaration of Trust of Robert J. Follman and Carole A. Follman dated August 14, 1979, of which Mr. Follman is a trustee. 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.