SEC Form 4 · accession 0001615774-18-014473
Emmaus Life Sciences, Inc. · EMMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George C Carpenter IV
Officer — Chief Innovation Officer
Period of report
Dec 12, 2018
Accepted (ET)
Dec 14, 2018 · 4:54 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000822370
Table I — non-derivative securities
No Table I lines on this filing.
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 purchase)F1 | $1.28 | Dec 12, 2018 | A | 50,000 | A | Jan 12, 2019 | Dec 12, 2028 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1On December 12, 2018, the Reporting Person was granted an option to purchase 50,000 shares of common stock, pursuant to that certain Amendment to Agreement, dated as of December 12, 2018, by and between MYnd Analytics, Inc. and the Reporting Person (the "Amendment"), which vests in installments over a twelve-month period. 4,167 options vest on each one-month anniversary of the Grant Date up to and including the date of August 12, 2019. Thereafter, 4,166 options vest on each of September 12, 2019, October 12, 2019, November 12, 2019 and December 12, 2019.