0001615774-16-007362.txt : 20160923 0001615774-16-007362.hdr.sgml : 20160923 20160923182510 ACCESSION NUMBER: 0001615774-16-007362 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160921 FILED AS OF DATE: 20160923 DATE AS OF CHANGE: 20160923 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: 26522 LA ALAMEDA STREET 2: SUITE 290 CITY: MISSION VIEJO STATE: CA ZIP: 92691 BUSINESS PHONE: (949) 420 4400 MAIL ADDRESS: STREET 1: 26522 LA ALAMEDA STREET 2: SUITE 290 CITY: MISSION VIEJO STATE: CA ZIP: 92691 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: 161900708 MAIL ADDRESS: STREET 1: 1660 WALT WHITMAN ROAD STREET 2: SUITE 105 CITY: MELVILLE STATE: NY ZIP: 11747 4 1 s104194_form4.xml OWNERSHIP DOCUMENT X0306 4 2016-09-21 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 Common Stock 2016-09-21 4 M 0 290498 5.00 A 353357 D 5% Secured Convertible Note due December 2017 5.00 2016-09-21 4 M 0 1400000 D 2016-09-01 2017-12-31 Common Stock 290498 0 D Common Stock Warrant 10.00 2016-09-21 4 D 0 1400000 D 2020-12-31 Common Stock 140000 0 D 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. Seven notes in the aggregate principal amount of $1,400,000 were purchased by the Reporting Person between September 22, 2014 and August 9, 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. 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 $1,400,000 in aggregate principal amount of the Reporting Person's notes, with accrued interest thereon of $52,486.98, at a conversion price of $5.00 per share of common stock. 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. The Common Stock Warrants were exercisable as of their respective dates of issuance. /s/ John Pappajohn 2016-09-23