Smith Robin L

SEC source: 0001641172-25-008427 · ownership.xml · derivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,600

Underlying: Common Stock · 11,600 shares

Expires 2035-04-30

F1 · derivative.exercise_date: The option award was made subject to the approval of, and in accordance with the terms of, the Issuer's 2025 Equity Incentive Plan (the "2025 Plan"), which will be voted on at the Issuer's 2025 annual meeting of stockholders to be held on June 23, 2025. 100% of the options vest, subject to stockholder approval of the 2025 Plan, on April 30, 2026.

SEC source: 0000899243-23-015880 · doc4.xml · derivative · entry 2

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 277,778

Underlying: Class A Common Stock · 277,778 shares

Expires 2033-06-14

F3 · derivative.exercise_date: This option was granted under the 2021 Plan and shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0000899243-23-015880 · doc4.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 236,066

F1 · shares: These shares represent restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan"), with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

F2 · balance_after: Includes 199,921 RSUs granted under the 2021 Plan, with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, June 14, 2023, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0000899243-22-029203 · doc4.xml · derivative · entry 2

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 800,000

Underlying: Class A Common Stock · 800,000 shares

Expires 2032-08-16

F2 · derivative.exercise_date: This option is subject to vesting in four equal tranches, based on achievement of certain pre-defined performance targets, and subject to the Reporting Person's continuous service with the Issuer through each such date.

SEC source: 0000899243-22-029203 · doc4.xml · derivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Class A Common Stock · 250,000 shares

Expires 2032-08-16

F1 · derivative.exercise_date: This option vested and became exercisable immediately on the grant date.

SEC source: 0000899243-22-026186 · doc4.xml · derivative · entry 2

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,152

Underlying: Class A Common Stock · 54,152 shares

Expires 2032-07-13

F2 · derivative.exercise_date: This option is granted under the Issuer's 2021 Plan and shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, July 13, 2022, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0000899243-22-026186 · doc4.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,145

F1 · shares: These shares represent restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan"), with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs is shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, July 13, 2022, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.

SEC source: 0001213900-21-047758 · ownership.xml · derivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,053

Underlying: Class A Common Stock · 56,053 shares

Expires 2031-09-09

F1 · derivative.exercise_date: This option shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, September 9, 2021, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through each such date.

SEC source: 0001209191-21-054841 · doc4.xml · derivative · entry 4

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires 2030-06-15

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.

F2 · derivative.exercise_date: 1/12 of the original number of shares subject to this option vested and became exercisable on July 15, 2020 and 1/12 of the original number of shares subject to the option vested following each one month of service thereafter.

SEC source: 0001209191-21-054841 · doc4.xml · derivative · entry 3

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 75,000 shares

Expires 2029-12-16

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 · derivative.exercise_date: 1/12 of the original number of shares subject to this option vested and became exercisable on January 16, 2020 and 1/12 of the original number of shares subject to the option vested following each one month of service thereafter.

SEC source: 0001209191-21-054841 · doc4.xml · nonDerivative · entry 2

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,000

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.

SEC source: 0001209191-21-054841 · doc4.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,000

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.

SEC source: 0001209191-21-053985 · doc4.xml · derivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2031-08-30

F1 · derivative.exercise_date: 1/48th of the original number of shares subject to this option shall vest and become exercisable on September 30, 2021, and 1/48th of the original number of shares subject to the option shall vest following each one month of service thereafter, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

SEC source: 0001209191-21-047512 · doc4.xml · derivative · entry 2

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 269,007

Underlying: Class A Common Stock · 269,007 shares

Expires 2031-07-16

F2 · price: Pursuant to the Merger Agreement and Plan of Merger and Reorganization, dated January 8, 2021 (the "Business Combination Agreement"), by and among GX Acquisition Corp. ("GX"), Alpha First Merger Sub Corp., Celularity LLC and Celularity Inc. ("Legacy Celularity"), each security to purchase shares of Legacy Celularity common stock issued and outstanding immediately prior to the effective time of the transactions contemplated by the Business Combination Agreement was automatically converted into a security to purchase a number of shares of the Issuer's common stock based on a 1-to-0.768594024295126 conversion ratio. Upon consummation of the business combination, GX changed its name to "Celularity Inc."

F3 · derivative.exercise_date: This Deferred Compensation Award ("DCA") shall become exercisable solely upon the first to occur of: (i) the consummation of a change of control that is also a change in the ownership or effective control of the Issuer, or in the ownership of a substantial portion of the Issuer's assets, (ii) the Reporting Person's death or disability, or (iii) March 24, 2023, subject to the Reporting Person's continuous service with the Issuer on such date.

SEC source: 0001209191-21-047512 · doc4.xml · derivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 384,297

Underlying: Class A Common Stock · 384,297 shares

Expires 2031-07-16

F2 · price: Pursuant to the Merger Agreement and Plan of Merger and Reorganization, dated January 8, 2021 (the "Business Combination Agreement"), by and among GX Acquisition Corp. ("GX"), Alpha First Merger Sub Corp., Celularity LLC and Celularity Inc. ("Legacy Celularity"), each security to purchase shares of Legacy Celularity common stock issued and outstanding immediately prior to the effective time of the transactions contemplated by the Business Combination Agreement was automatically converted into a security to purchase a number of shares of the Issuer's common stock based on a 1-to-0.768594024295126 conversion ratio. Upon consummation of the business combination, GX changed its name to "Celularity Inc."

F1 · derivative.exercise_date: This option shall vest and become exercisable in equal monthly installments over a period of four years from August 7, 2019, subject to the Reporting Person's continuous service with the Issuer on each such date.

SEC source: 0000850261-20-000039 · wf-form4_159225886257619.xml · derivative · entry 1

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 2030-06-15

F1 · derivative.exercise_date: 1/12th of the original number of shares subject to this option shall vest and become exercisable on July 15, 2020, and 1/12th of the original number of shares subject to the option shall vest following each one month of service thereafter, subject to the Reporting Person's continued service on the Issuer's board of directors on each such date.

SEC source: 0001628280-20-008222 · wf-form4_159009184728778.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,975

F1 · price: The price reported in Column 4 is the weighted average price which has been rounded to the nearest cent. The shares were purchased in multiple transactions at prices ranging from $1.68 to $1.70, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

SEC source: 0001628280-20-007831 · wf-form4_158949119540170.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,975

F1 · shares: The reported shares are represented by restricted stock units that vest on May 14, 2021.

SEC source: 0000850261-20-000029 · wf-form4_158343470683588.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.145 to $2.42, inclusive. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

SEC source: 0001123292-20-000488 · edgar.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,975

F1 · shares: The reported shares are represented by restricted stock units, which vest one year from the date of grant.

SEC source: 0001136261-20-000011 · primary_doc.xml · derivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2030-01-06

F1 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on February 6, 2020, and 1/12th of the shares subject to the option shall vest monthly thereafter.

SEC source: 0000850261-19-000058 · wf-form4_157670979026532.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 2029-12-16

F1 · derivative.exercise_date: 1/12 of the original number of shares subject to this option shall vest and become exercisable on January 16, 2020 and 1/12 of the original number of shares subject to the option shall vest following each one month of service thereafter, subject to the Reporting Person's continued service on the Issuer's board of directors on each such date.

SEC source: 0001104659-19-034644 · a4.xml · derivative · entry 2

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,461

Underlying: Common Stock · 22,461 shares

Expires 2029-06-06

SEC source: 0001104659-19-034644 · a4.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,366

F1 · kind: Restricted stock units vest on June 6, 2020.

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: 0001136261-19-000110 · primary_doc.xml · derivative · entry 2

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2029-03-20

F2 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on April 20, 2019, and 1/12th of the shares subject to the option shall vest monthly thereafter.

SEC source: 0001136261-19-000110 · primary_doc.xml · derivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2029-03-20

F1 · derivative.exercise_date: 1/3rd of the shares subject to the option shall vest on March 20, 2020, and 1/36th of the shares subject to the option shall vest monthly thereafter.

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: 0001615774-18-009967 · 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: 0001718008-18-000001 · primary_doc.xml · derivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,320

Underlying: Common Stock · 7,320 shares

Expires 2028-05-08

F1 · derivative.exercise_date: The options vest 1/3 on date of grant, 1/3 on June 30, 2018, and 1/3 on September 30, 2018.

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: 0001140361-18-014505 · doc1.xml · derivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,985

Underlying: Common Stock · 38,985 shares

Expires 2028-03-19

F1 · security: The grant of these options is contingent upon shareholder approval of the 2018 Rockwell Medical, Inc. Long Term Incentive Plan (the "2018 Plan") at the Company's 2018 Annual Meeting of Shareholders. If the Company's shareholders do not approve the 2018 Plan, these contingent options are deemed null and void and may not be exercised by the reporting person.

F1 · kind: The grant of these options is contingent upon shareholder approval of the 2018 Rockwell Medical, Inc. Long Term Incentive Plan (the "2018 Plan") at the Company's 2018 Annual Meeting of Shareholders. If the Company's shareholders do not approve the 2018 Plan, these contingent options are deemed null and void and may not be exercised by the reporting person.

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: 0001712599-17-000001 · primary_doc.xml · derivative · entry 3

Smith Robin L · CIK 0001365035 · Director · Nominating Committee Chair

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2027-08-24

SEC source: 0001712599-17-000001 · primary_doc.xml · derivative · entry 2

Smith Robin L · CIK 0001365035 · Director · Nominating Committee Chair

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2027-08-24

F1 · derivative.exercise_date: The option vests in four equal quarterly installments: September 30, 2017; December 31, 2017; March 31, 2018; and June 30, 2018.

SEC source: 0001712599-17-000001 · primary_doc.xml · derivative · entry 1

Smith Robin L · CIK 0001365035 · Director · Nominating Committee Chair

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2027-08-24

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: 0001615774-17-004228 · 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: 0001615774-17-003707 · 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: 0001209191-17-022664 · doc4.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,800

F1 · shares: Performance-based stock grant. This grant vests upon the earliest to occur of any of the following (a) reported net sales of the company in any four consecutive calendar quarters equals or exceeds $100,000,000, (b) the market capitalization of the company is greater than $600,000,000 for ten consecutive trading days, or (c) one year following the date the Centers for Medicare & Medicaid Services assign the company transitional add on reimbursement payment status for the drug product, Triferic.

SEC source: 0001709243-17-000003 · primary_doc.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

F1 · security: Ms. Smith is awarded shares of common stock for service as a director of the issuer.