Sec Form 4 Filing - Unanue Peter @ MYnd Analytics, Inc. - 2018-03-29

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Unanue Peter
2. Issuer Name and Ticker or Trading Symbol
MYnd Analytics, Inc. [ MYND]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O MYND ANALYTICS, INC., 26522 LA ALAMEDA, SUITE 290
3. Date of Earliest Transaction (MM/DD/YY)
03/29/2018
(Street)
MISSION VIEJO,, CA92691
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series A Preferred Stock $ 1.875 ( 1 ) 03/29/2018 03/29/2018 A 50,000 ( 1 ) ( 2 ) ( 2 ) ( 2 ) Common Stock 50,000 ( 1 ) ( 2 ) $ 93,750 ( 2 ) 50,000 D
Warrant $ 2.34 ( 1 ) ( 3 ) 03/29/2018 03/29/2018 A 50,000 ( 3 ) ( 3 ) Common Stock 50,000 $ 6,250 50,000 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Unanue Peter
C/O MYND ANALYTICS, INC.
26522 LA ALAMEDA, SUITE 290
MISSION VIEJO,, CA92691
X
Signatures
/s/ Peter Unanue 04/02/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )50,000 shares of Series A Preferred Stock and Warrants to purchase 50,000 shares of Common Stock were purchased by the Reporting Person for an aggregate of $100,000 pursuant to a Subscription Agreement, dated as of March 29, 2018 (the "Subscription Agreement"), between the Issuer and the investors party thereto. The Series A Preferred Stock are convertible by the Reporting Person as of the date of the Subscription Agreement and are convertible at a conversion price of $1.875 per share.
( 2 )Each Share of Series A Preferred Stock is convertible, at the holder's option at any time, initially into 50,000 shares of the Issuer's Common Stock, subject to specific adjustments and limitations as set forth in the Certificate of Designation pertaining to such Series A Preferred Stock.
( 3 )Each Warrant entitles its holder to purchase one share of Common Stock at an exercise price of $2.34 per share, subject to adjustment, at any time commencing on March 29, 2018 and expiring on March 29, 2023 (or earlier upon redemption or liquidation).

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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