SEC Form 4 · accession 0001615774-16-008017
Emmaus Life Sciences, Inc. · EMMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
RSJ Investments SICAV a.s.
10% Owner
Period of report
Nov 1, 2016
Accepted (ET)
Nov 3, 2016 · 5:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000822370
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.001 per share | Nov 1, 2016 | J | 20,000 | $0.00 | A | 465,704 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares of common stock, par value $0.001 per share (the "Common Stock") of MYnd Analytics, Inc. (the "Issuer") were initially granted by the Issuer to Michal Votruba, a director of the Issuer and an employee of the Reporting Person. The grant was recommended by the Issuer's compensation committee and approved by the Issuer's board of directors on September 22, 2016 under the Amended and Restated 2012 Omnibus Incentive Compensation Plan (the "Plan"), subject to stockholder approval of the Plan, and was subsequently made on November 1, 2016 when the Issuer's stockholders approved the Plan. Upon grant on November 1, 2016, the shares were immediately assigned and issued directly to the Reporting Person for no consideration, pursuant to a binding verbal agreement between Mr. Votruba and the Reporting Person.