Smith Robin L

SEC source: 0000899243-17-003023 · doc4.xml · derivative · entry 2

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,200 shares

Expires 2026-06-15

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.

F1 · derivative.exercise_price: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

F1 · shares: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

F2 · derivative.exercise_date: The option initially vested and became exercisable in twelve equal monthly installments beginning on June 30, 2016 and ending on May 31, 2017. However, upon approval of the issuer's board of directors, vesting was accelerated and the option became fully vested.

F1 · derivative.underlying_shares: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

SEC source: 0000899243-17-003023 · doc4.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,900

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 · shares: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

F1 · price: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

F1 · balance_after: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

SEC source: 0001709243-17-000005 · 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.

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

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,526

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

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,526

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

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

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 8,000 shares

Expires 2026-09-22

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

SEC source: 0001615774-16-007975 · s104534_form4.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 2026-09-22

F2 · security: The tax-offset right accompanying this grant entitles the reporting person to receive a cash payment from the Registrant equal to the tax withholding incurred in connection with the award, including tax withholding incurred on the tax-offset payment. The Registrant has reported having accrued in aggregate $250,000 for the estimated tax withholding liability.

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 it was granted. The Registrant's stockholders approved the Plan on November 1, 2016.

F3 · shares: 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. The performance criteria for the first and second installments were met, resulting in the vesting of the option as to 16,000 shares.

SEC source: 0001615774-16-007975 · s104534_form4.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,526

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 it was granted. The Registrant's stockholders approved the Plan on November 1, 2016.

F2 · shares: The tax-offset right accompanying this grant entitles the reporting person to receive a cash payment from the Registrant equal to the tax withholding incurred in connection with the award, including tax withholding incurred on the tax-offset payment. The Registrant has reported having accrued in aggregate $250,000 for the estimated tax withholding liability.

SEC source: 0001615774-16-007360 · s104195_form4.xml · derivative · entry 3

Smith Robin L · CIK 0001365035 · Director

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.

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 Warrants were exercisable as of their respective dates of issuance.

SEC source: 0001615774-16-007360 · s104195_form4.xml · derivative · entry 2

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 20,776 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: Two notes in the aggregate principal amount of $100,000 were purchased by the Reporting Person on September 14, 2015 and April 21, 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.

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 $100,000 in aggregate principal amount of the Reporting Person's notes, with accrued interest thereon of $3,879.18, at a conversion price of $5.00 per share of common stock.

F2 · price: Two notes in the aggregate principal amount of $100,000 were purchased by the Reporting Person on September 14, 2015 and April 21, 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.

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 $100,000 in aggregate principal amount of the Reporting Person's notes, with accrued interest thereon of $3,879.18, at a conversion price of $5.00 per share of common stock.

F2 · derivative.exercise_date: Two notes in the aggregate principal amount of $100,000 were purchased by the Reporting Person on September 14, 2015 and April 21, 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.

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 $100,000 in aggregate principal amount of the Reporting Person's notes, with accrued interest thereon of $3,879.18, at a conversion price of $5.00 per share of common stock.

F2 · derivative.underlying_shares: Two notes in the aggregate principal amount of $100,000 were purchased by the Reporting Person on September 14, 2015 and April 21, 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.

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 $100,000 in aggregate principal amount of the Reporting Person's notes, with accrued interest thereon of $3,879.18, at a conversion price of $5.00 per share of common stock.

SEC source: 0001615774-16-007360 · s104195_form4.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,526

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.

SEC source: 0001209191-16-142700 · doc4.xml · derivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2026-09-21

F1 · derivative.exercise_date: This option vests in three equal installments on September 21, 2017, September 21, 2018 and September 21, 2019.