0001615774-15-003745.txt : 20151228
0001615774-15-003745.hdr.sgml : 20151225
20151228174006
ACCESSION NUMBER: 0001615774-15-003745
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151223
FILED AS OF DATE: 20151228
DATE AS OF CHANGE: 20151228
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: MYnd Analytics, Inc.
CENTRAL INDEX KEY: 0000822370
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MISC HEALTH & ALLIED SERVICES, NEC [8090]
IRS NUMBER: 870419387
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 85 ENTERPRISE
STREET 2: SUITE 410,
CITY: ALISO VIEJO
STATE: CA
ZIP: 92656
BUSINESS PHONE: (714) 545 3288
MAIL ADDRESS:
STREET 1: 85 ENTERPRISE
STREET 2: SUITE 410,
CITY: ALISO VIEJO
STATE: CA
ZIP: 92656
FORMER COMPANY:
FORMER CONFORMED NAME: CNS RESPONSE, INC.
DATE OF NAME CHANGE: 20070313
FORMER COMPANY:
FORMER CONFORMED NAME: STRATIVATION, INC.
DATE OF NAME CHANGE: 20051115
FORMER COMPANY:
FORMER CONFORMED NAME: SalesTactix, Inc.
DATE OF NAME CHANGE: 20040805
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PAPPAJOHN JOHN
CENTRAL INDEX KEY: 0000897464
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35527
FILM NUMBER: 151309993
MAIL ADDRESS:
STREET 1: 1660 WALT WHITMAN ROAD
STREET 2: SUITE 105
CITY: MELVILLE
STATE: NY
ZIP: 11747
4
1
s102401_form4.xml
4
X0306
4
2015-12-23
0
0000822370
MYnd Analytics, Inc.
CNSO
0000897464
PAPPAJOHN JOHN
C/O MYND ANALYTICS, INC.,
85 ENTERPRISE, SUITE 410
ALISO VIEJO
CA
92656
1
0
1
0
5% Secured Convertible Note due December 2017
0.05
2015-12-23
4
A
0
250000
A
2017-12-16
2017-12-31
Common Stock
5000000
550000
D
Common Stock Warrant
0.05
2015-12-23
4
A
0
5000000
A
2015-12-23
2020-12-31
Common Stock
5000000
5000000
D
Common Stock Warrant
0.05
2015-12-23
4
A
0
6000000
A
2015-12-23
2020-12-31
Common Stock
6000000
11000000
D
On December 23, 2015, the Issuer and the holders of the 5% Secured Convertible Notes due December 2017 (formerly due March 2016) (the "Notes") entered into a Second Amended and Restated Note and Warrant Purchase Agreement (the "Agreement"), which (i) extended the maturity date of the Notes to December 31, 2017; (ii) provided for the issuance of certain warrants to prior and current investors; (iii) extended the time during which Notes may be issued; and (iv) increased the aggregate principal amount of Notes issuable.
The Notes are convertible into shares of common stock either: (i) voluntarily, beginning 15 days prior to the December 31, 2017 maturity date of the Notes (the "Maturity Date"), by the holder or (ii) automatically, if, prior to the Maturity Date, the Issuer consummates a Qualified Financing (as defined in the Notes).
The Maturity Date of the Notes is December 31, 2017.
The Note and related warrant were issued in exchange for $250,000 in cash pursuant to the Agreement.
The number of derivate securities beneficially owned includes an aggregate of $300,000 of Notes acquired by the Reporting Person prior to the Agreement (the "Prior Notes"), the maturity date of which was extended pursuant to the Agreement. Excludes interest accrued at 5% per annum on the Notes.
The expiration date of the warrant is the earlier of (i) December 31, 2020 and (ii) the date that is forty-five (45) days following the date on which the daily closing price of the Issuer's shares of common stock listed on the OTCQB Venture Marketplace (or other bulletin board or exchange on which the Issuer's common stock is traded or listed) exceeds $0.25 for at least ten (10) consecutive trading days.
Pursuant to the Agreement, in consideration for extending the maturity date of the Notes, the Reporting Person received a warrant to purchase shares of the Issuer's common stock, exercisable at $0.05 per share, equal to the aggregate principal amount of the Prior Notes.
/s/ John Pappajohn
2015-12-28