SEC Form 4/A · accession 0001615774-18-002857
Emmaus Life Sciences, Inc. · EMMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Robin L Smith
Director
Period of report
Apr 4, 2018
Accepted (ET)
Apr 24, 2018 · 4:58 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 StockF1 | Apr 4, 2018 | A | 25,000 | $0.00 | A | 148,026 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $1.55 | Apr 4, 2018 | A | 75,000 | A | — | Apr 4, 2028 | Common Stock | 75,000 | 75,000 | D |
| Employee Stock Option (right to buy)F3 | $1.99 | Apr 16, 2018 | A | 50,000 | A | — | Apr 16, 2028 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1The award of Common Stock was granted, and approved by the board of directors of MYnd Analytics, Inc. (the "Registrant"), subject to stockholder approval of amendments to the Registrant's Amended and Restated 2012 Omnibus Incentive Compensation Plan (the "Plan"), pursuant to that certain Chairman Services Agreement (the "Agreement"), dated July 14, 2017 (the "Effective Date"), by and between the reporting person and the Registrant. The Registrant's stockholders approved the amendments to the Plan on April 4, 2018 and the grant vested immediately The registrant agreed to pay the associated taxes, federal and state for this award.
- F2The award was granted, and approved by the board of directors of the Registrant, subject to stockholder approval of amendments to the Registrant's Amended and Restated 2012 Omnibus Incentive Compensation Plan (the "Plan"), pursuant to the Agreement. The Registrant's stockholders approved the amendments to the Plan on April 4, 2018. The option vests in three equal installments as follows: 1/3 on the Effective Date, 1/3 on the six-month anniversary of the Effective Date and 1/3 on the twelve-month anniversary of the Effective Date.
- F3The award was granted and approved by the board of directors on April 16, 2018. The option vests on the Effective Date.