0001615774-16-006427.txt : 20160725 0001615774-16-006427.hdr.sgml : 20160725 20160725160434 ACCESSION NUMBER: 0001615774-16-006427 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160721 FILED AS OF DATE: 20160725 DATE AS OF CHANGE: 20160725 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: 161782195 MAIL ADDRESS: STREET 1: 1660 WALT WHITMAN ROAD STREET 2: SUITE 105 CITY: MELVILLE STATE: NY ZIP: 11747 4 1 s103747_form4.xml 4 X0306 4 2016-07-21 0 0000822370 MYnd Analytics, Inc. CNSO 0000897464 PAPPAJOHN JOHN C/O MYND ANALYTICS, INC. 26522 LA ALAMEDA, SUITE 290 MISSION VIEJO CA 92691 1 0 1 0 5% Secured Convertible Note due December 2017 0.05 2016-07-21 4 A 0 250000 A 2017-12-16 2017-12-31 Common Stock 5000000 1300000 D Common Stock Warrant 0.05 2016-07-21 4 A 0 5000000 A 2016-07-21 2020-12-31 Common Stock 5000000 26000000 D The 5% Secured Convertible Note due December 2017 (the "Note") was purchased by the Reporting Person pursuant to a Second Amended and Restated Note and Warrant Purchase Agreement (the "Agreement"), dated December 23, 2015, between the Issuer and the investors party thereto, as more specifically reported on the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission on December 30, 2015. The Note is convertible into shares of common stock either: (i) voluntarily, beginning 15 days prior to the December 31, 2017 maturity date of the Note (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 Note). The Maturity Date of the Note is December 31, 2017. The Note and related common stock warrant were issued in exchange for $250,000 in cash pursuant to the Agreement. The number of derivative securities beneficially owned does not include interest accrued at 5% per annum on the Note. The expiration date of the common stock 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. /s/ John Pappajohn 2016-07-25