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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/17/16 Emmaus Life Sciences, Inc. 10-Q 12/31/15 71:5.5M S2 Filings LLC/FA |
Document/Exhibit Description Pages Size
1: 10-Q Quarterly Report HTML 378K
2: EX-10.27 Material Contract HTML 83K
3: EX-10.28 Material Contract HTML 38K
4: EX-10.29 Material Contract HTML 50K
5: EX-10.30 Material Contract HTML 37K
6: EX-10.31 Material Contract HTML 111K
7: EX-31.1 Certification -- §302 - SOA'02 HTML 25K
8: EX-31.2 Certification -- §302 - SOA'02 HTML 25K
9: EX-32.1 Certification -- §906 - SOA'02 HTML 21K
16: R1 Document and Entity Information HTML 46K
17: R2 Unaudited Condensed Consolidated Statements of HTML 80K
Operations
18: R3 Condensed Consolidated Balance Sheets (Unaudited) HTML 95K
19: R4 Condensed Consolidated Balance Sheets (Unaudited) HTML 39K
(Parenthetical)
20: R5 Unaudited Condensed Consolidated Statements of HTML 83K
Cash Flows
21: R6 Unaudited Condensed Consolidated Statements of HTML 43K
Stockholders' Deficit
22: R7 Nature of Operations HTML 37K
23: R8 Summary of Significant Accounting Policies HTML 81K
24: R9 Discontinued Operations HTML 45K
25: R10 Convertible Debt and Equity Financings HTML 59K
26: R11 Derivative Liabilities HTML 58K
27: R12 Stockholders' Deficit HTML 111K
28: R13 Related Party Transactions HTML 72K
29: R14 Loss Per Share HTML 41K
30: R15 Commitments and Contingent Liabilities HTML 50K
31: R16 Subsequent Events HTML 26K
32: R17 Summary of Significant Accounting Policies HTML 135K
(Policies)
33: R18 Summary of Significant Accounting Policies HTML 52K
(Tables)
34: R19 Discontinued Operations (Tables) HTML 43K
35: R20 Convertible Debt and Equity Financings (Tables) HTML 40K
36: R21 Derivative Liabilities (Tables) HTML 58K
37: R22 Stockholders' Deficit (Tables) HTML 99K
38: R23 Related Party Transactions (Tables) HTML 30K
39: R24 Loss Per Share (Tables) HTML 38K
40: R25 Commitments and Contingent Liabilities (Tables) HTML 34K
41: R26 Nature of Operations (Details Narrative) HTML 42K
42: R27 Summary of Significant Accounting Policies HTML 51K
(Details Narrative)
43: R28 Summary of Significant Accounting Policies HTML 30K
(Details)
44: R29 Summary of Significant Accounting Policies HTML 33K
(Details 1)
45: R30 Discontinued Operations (Details) HTML 43K
46: R31 Discontinued Operations (Details 1) HTML 33K
47: R32 Convertible Debt and Equity Financings (Details HTML 171K
Narrative)
48: R33 Convertible Debt and Equity Financings (Details) HTML 77K
49: R34 Derivative Liabilities (Details Narrative) HTML 67K
50: R35 Derivative Liabilities (Details) HTML 30K
51: R36 Derivative Liabilities (Details 1) HTML 42K
52: R37 Derivative Liabilities (Details 2) HTML 30K
53: R38 Derivative Liabilities (Details 3) HTML 27K
54: R39 Stockholders' Deficit (Details Narrative) HTML 106K
55: R40 Stockholders' Deficit (Details Narrative 1) HTML 54K
56: R41 Stockholders' Deficit (Details) HTML 28K
57: R42 Stockholders' Deficit (Details 1) HTML 37K
58: R43 Stockholders' Deficit (Details 2) HTML 89K
59: R44 Stockholders' Deficit (Details 3) HTML 42K
60: R45 Stockholders' Deficit (Details 4) HTML 69K
61: R46 Stockholders' Deficit (Details 5) HTML 31K
62: R47 Related Party Transactions (Details Narrative) HTML 170K
63: R48 Related Party Transactions (Details Narrative 1) HTML 218K
64: R49 Related Party Transactions (Details) HTML 49K
65: R50 Loss Per Share (Details) HTML 53K
66: R51 Commitments and Contingent Liabilities (Details HTML 47K
Narrative)
67: R52 Commitments and Contingent Liabilities (Details) HTML 56K
68: R53 Subsequent Events (Details Narrative) HTML 42K
70: XML IDEA XML File -- Filing Summary XML 120K
69: EXCEL IDEA Workbook of Financial Reports XLSX 82K
10: EX-101.INS XBRL Instance -- cnso-20151231 XML 1.64M
12: EX-101.CAL XBRL Calculations -- cnso-20151231_cal XML 135K
13: EX-101.DEF XBRL Definitions -- cnso-20151231_def XML 714K
14: EX-101.LAB XBRL Labels -- cnso-20151231_lab XML 918K
15: EX-101.PRE XBRL Presentations -- cnso-20151231_pre XML 886K
11: EX-101.SCH XBRL Schema -- cnso-20151231 XSD 144K
71: ZIP XBRL Zipped Folder -- 0001615774-16-004225-xbrl Zip 137K
Exhibit 10.29
THIS WARRANT AND THE SECURITIES ISSUABLE UPON THE EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, OR OTHERWISE TRANSFERRED EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933, AS AMENDED OR AN OPINION OF COUNSEL SATISFACTORY TO THE COMPANY THAT REGISTRATION IS NOT REQUIRED.
FORM OF WARRANT TO PURCHASE SHARES
This Warrant is issued to _____________ (“Holder”) by MYnd Analytics, Inc., f/k/a CNS Response, Inc., a Delaware corporation (the “Company”), in connection with the issuance to the Holder of a Note in the aggregate principal amount of $____________ (the “Note”). All capitalized terms not defined in this Warrant shall have the meaning ascribed to them in the Note.
1. Purchase of Shares. Subject to the terms and conditions hereinafter set forth, the holder of this Warrant is entitled, upon surrender of this Warrant at the principal office of the Company (or at such other place as the Company shall notify the holder hereof in writing), to purchase from the Company up to ___________fully paid and nonassessable Shares (as defined below) at the Exercise Price (as defined below).
2. Definitions.
(a) Exercise Price. The exercise price for the Shares initially shall be $0.05 per share, as adjusted from time to time (such price, as adjusted from time to time, is herein referred to as the “Exercise Price”).
(b) Exercise Period. This Warrant shall be exercisable, in whole or in part, during the term commencing on the date hereof and ending on the earlier of (i) the fifth anniversary of December 31, 2015 and (ii) the date that is forty-five (45) days following the date on which the daily closing price of the Company's shares of common stock listed on the OTCQB Venture Marketplace (or other bulletin board or exchange on which the Company's Common Stock is traded or listed) has been above $0.25 for ten (10) consecutive trading days. The Company shall promptly notify the holder in the event that the daily closing price of the Company's shares of common stock listed on the OTCQB Venture Marketplace (or other bulletin board or exchange on which the Company's Common Stock is traded or listed) has been above $0.25 for ten (10) consecutive trading days.
(c) The Shares. The term “Shares” shall mean shares of the Company’s common stock, par value $0.001 per share.
3. Method of Exercise. While this Warrant remains outstanding and exercisable in accordance with the terms hereof, the holder may exercise, in whole or in part, the purchase rights evidenced hereby. Such exercise shall be effected by:
(i) the surrender of the Warrant, together with a notice of exercise in substantially the form attached hereto as Exhibit A to the Secretary of the Company at its principal offices; and
(ii) the payment to the Company of an amount equal to the aggregate Exercise Price for the number of Shares being purchased, in cash (through a check payable to the Company or by wire transfer to an account designated by the Company).
4. Certificates for Shares. Upon the exercise of the purchase rights evidenced by this Warrant, one or more certificates for the number of Shares so purchased shall be issued as soon as practicable thereafter, and in any event within thirty (30) days of the delivery of the subscription notice.
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5. Issuance of Shares. The Company covenants that the Shares, when issued pursuant to the exercise of this Warrant, will be duly and validly issued, fully paid and nonassessable and free from all taxes, liens, and charges with respect to the issuance thereof. The Company shall at all times reserve and keep available solely for the issuance and delivery upon the exercise of this Warrant, such number of Shares sufficient to permit the exercise in full of this Warrant.
6. Adjustment of Exercise Price and Number of Shares. The number of and kind of securities purchasable upon exercise of this Warrant and the Exercise Price shall be subject to adjustment from time to time as follows:
(a) Subdivisions, Combinations and Other Issuances. If the Company shall at any time prior to the expiration of this Warrant subdivide the Shares, by split-up or otherwise, or combine its Shares, or issue additional shares as a dividend, the number of Shares issuable on the exercise of this Warrant shall forthwith be proportionately increased in the case of a subdivision or stock dividend, or proportionately decreased in the case of a combination. Appropriate adjustments shall also be made to the purchase price payable per share, but the aggregate purchase price payable for the total number of Shares purchasable under this Warrant (as adjusted) shall remain the same. Any adjustment under this Section 6(a) shall become effective at the close of business on the date the subdivision or combination becomes effective, or as of the record date of such dividend, or in the event that no record date is fixed, upon the making of such dividend.
(b) Reclassification, Reorganization and Consolidation. In case of any reclassification, capital reorganization, or change in the capital stock of the Company (other than as a result of a subdivision, combination, or stock dividend provided for in Section 6(a) above), then the Company shall make appropriate provision so that the holder of this Warrant shall have the right at any time prior to the expiration of this Warrant to purchase, at a total price equal to that payable upon the exercise of this Warrant, the kind and amount of shares of stock and other securities and property receivable in connection with such reclassification, reorganization, or change by a holder of the same number of Shares as were purchasable by the holder of this Warrant immediately prior to such reclassification, reorganization, or change. In any such case appropriate provisions shall be made with respect to the rights and interest of the holder of this Warrant so that the provisions hereof, including Sections 6(a), shall thereafter be applicable with respect to any shares of stock or other securities and property deliverable upon exercise hereof, and appropriate adjustments shall be made to the purchase price per share payable hereunder, provided the aggregate purchase price shall remain the same.
(c) Notice of Adjustment. When any adjustment is required to be made in the number or kind of shares purchasable upon exercise of the Warrant, or in the Exercise Price, the Company shall promptly notify the holder of such event and of the number of Shares or other securities or property thereafter purchasable upon exercise of this Warrant, and furnish the holder with a certificate of its Chief Financial Officer, including computations of such adjustment in the number or kind of shares purchasable upon exercise of the Warrant, or in the Exercise Price.
7. No Fractional Shares or Scrip. No fractional shares or scrip representing fractional shares shall be issued upon the exercise of this Warrant, but in lieu of such fractional shares the Company shall make a cash payment therefor on the basis of the Exercise Price then in effect.
8. Restrictive Legend.
The Shares (unless registered under the Securities Act of 1933, as amended (the “Act”)) shall be stamped or imprinted with a legend in substantially the following form:
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THE SHARES REPRESENTED BY THIS CERTIFICATE HAVE BEEN ACQUIRED FOR INVESTMENT AND NOT WITH A VIEW TO, OR IN CONNECTION WITH, THE SALE OR DISTRIBUTION THEREOF, AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. SUCH SHARES MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR AN EXEMPTION THEREFROM UNDER THE ACT AND ANY APPLICABLE STATE SECURITIES LAWS. COPIES OF THE AGREEMENT COVERING THE PURCHASE OF THESE SHARES AND RESTRICTING THEIR TRANSFER MAY BE OBTAINED AT NO COST BY WRITTEN REQUEST MADE BY THE HOLDER OF RECORD OF THIS CERTIFICATE TO THE SECRETARY OF THE COMPANY AT THE PRINCIPAL EXECUTIVE OFFICES OF THE COMPANY.
THE SALE OF SECURITIES WHICH ARE THE SUBJECT OF THIS AGREEMENT HAS NOT BEEN QUALIFIED WITH THE COMMISSIONER OF CORPORATIONS OF THE STATE OF CALIFORNIA AND THE ISSUANCE OF THE SECURITIES OR THE PAYMENT OR RECEIPT OF ANY PART OF THE CONSIDERATION THEREFOR PRIOR TO THE QUALIFICATION IS UNLAWFUL, UNLESS THE SALE OF SECURITIES IS EXEMPT FROM THE QUALIFICATION BY SECTION 25100, 25102 OR 25105 OF THE CALIFORNIA CORPORATIONS CODE. THE RIGHTS OF ALL PARTIES TO THIS AGREEMENT ARE EXPRESSLY CONDITIONED UPON THE QUALIFICATION BEING OBTAINED UNLESS THE SALE IS SO EXEMPT.
9. Warrants Transferable. Subject to compliance with the terms and conditions of this Section 9, this Warrant and all rights hereunder are transferable, in whole or in part, without charge to the holder hereof (except for transfer taxes), upon surrender of this Warrant properly endorsed or accompanied by written instructions of transfer. With respect to any offer, sale or other disposition of this Warrant or any Shares acquired pursuant to the exercise of this Warrant prior to registration of such Warrant or Shares, the holder hereof agrees to give written notice to the Company prior thereto, describing briefly the manner thereof, together with a written opinion of such holder’s counsel, or other evidence, if requested by the Company, to the effect that such offer, sale or other disposition may be effected without registration or qualification (under the Act as then in effect or any federal or state securities law then in effect) of this Warrant or the Shares and indicating whether or not under the Act certificates for this Warrant or the Shares to be sold or otherwise disposed of require any restrictive legend as to applicable restrictions on transferability in order to ensure compliance with such law; provided, however, the Company shall not require an opinion of counsel in any transaction in compliance with Rule 144 promulgated by the SEC under the Act. Upon receiving such written notice and reasonably satisfactory opinion or other evidence, if so requested, the Company, as promptly as practicable, shall notify such holder that such holder may sell or otherwise dispose of this Warrant or such Shares, all in accordance with the terms of the notice delivered to the Company. If a determination has been made pursuant to this Section 9 that the opinion of counsel for the holder or other evidence is not reasonably satisfactory to the Company, the Company shall so notify the holder promptly with details thereof after such determination has been made. Each certificate representing this Warrant or the Shares transferred in accordance with this Section 9 shall bear a legend as to the applicable restrictions on transferability in order to ensure compliance with such laws, unless in the aforesaid opinion of counsel for the holder, such legend is not required in order to ensure compliance with such laws. The Company may issue stop transfer instructions to its transfer agent in connection with such restrictions. Notwithstanding the foregoing, Holder may assign this Warrant or the Shares into which such Warrant may be converted to an affiliated entity without the prior written consent of the Company so long as such assignment complies with applicable law.
10. Rights of Stockholders. No holder of this Warrant shall be entitled, as a Warrant holder, to vote or receive dividends or be deemed the holder of the Shares or any other securities of the Company which may at any time be issuable on the exercise hereof for any purpose, nor shall anything contained herein be construed to confer upon the holder of this Warrant, as such, any of the rights of a stockholder of the Company or any right to vote for the election of directors or upon any matter submitted to stockholders at any meeting thereof, or to give or withhold consent to any corporate action (whether upon any recapitalization, issuance of stock, reclassification of stock, change of par value, consolidation, merger, conveyance, or otherwise) or to receive notice of meetings, or to receive dividends or subscription rights or otherwise until the Warrant shall have been exercised and the Shares purchasable upon the exercise hereof shall have become deliverable, as provided herein.
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11. Amendments and Waivers. Any provision of this Warrant may be amended, waived or modified upon the written consent of the Company and the Majority Holders. Any such amendment, waiver or modification effected in accordance with this paragraph shall be binding upon the Company and Holder, it being understood and agreed that such written consent will affect all Warrants and be binding on all holders thereof regardless of whether any particular holder executed such consent.
12. Notices of Certain Transactions. In case (a) the Company shall take a record of the holders of its outstanding stock of the same class as the Shares purchasable under this Warrant (or other stock or securities at the time deliverable upon the exercise of this Warrant) for the purpose of entitling or enabling them to receive any dividend or other distribution, or to receive any right to subscribe for or purchase any shares of stock of any class or any other securities, or to receive any other right, to subscribe for or purchase any shares of stock of any class or any other securities, or to receive any other right, (b) of any capital reorganization of the Company, any reclassification of the capital stock of the Company, any consolidation or merger of the Company with or into another corporation (other than a consolidation or merger in which the shares of capital stock of the Company outstanding immediately prior to such merger or consolidation continue to represent, or are converted into or exchanged for shares of capital stock that represent, immediately following such merger or consolidation, at least a majority, by voting power, of the capital stock of the surviving corporation), or any transfer of all or substantially all of the assets of the Company, or (c) of the voluntary or involuntary dissolution, liquidation or winding-up of the Company, then, and in each such case, the Company will mail or cause to be mailed to the holder of this Warrant a notice specifying, as the case may be, (i) the date on which a record is to be taken for the purpose of such dividend, distribution or right, and stating the amount and character of such dividend, distribution or right, or (ii) the effective date on which such reorganization, reclassification, consolidation, merger, transfer, dissolution, liquidation, redemption or conversion is to take place, and the time, if any is to be fixed, as of which the holders of record of the Company’s outstanding stock of the same class as the Shares purchasable under this Warrant (or such other stock or securities at the time deliverable upon such reorganization, reclassification, consolidation, merger, transfer, dissolution, liquidation, redemption or conversion) are to be determined. Such notice shall be mailed at least ten (10) days prior to the record date or effective date for the event specified in such notice.
13. Notices. All notices and other communications given or made hereunder shall be in writing and shall be deemed effectively given: (a) upon personal delivery to the party to be notified, (b) when sent by confirmed electronic mail or facsimile if sent during normal business hours of the recipient, and if not so confirmed, then on the next business day, with a copy to be sent by United States first class mail, postage prepaid, (c) five (5) days after being sent by registered or certified mail, return receipt required, postage prepaid, or (d) one (1) day after deposit with a nationally recognized overnight courier, specifying next day delivery, with written verification of receipt. All communications shall be sent to the respective parties at their address or fax number as set forth on the signature page to the Note or to such electronic mail address, facsimile number or address as subsequently modified by written notice given in according with this Section 13.
14. No Impairment. The Company shall not, by amendment of its certificate of incorporation or through reorganization, consolidation, merger, dissolution, sale of assets or any other voluntary action, avoid or seek to avoid the observance or performance of any of the terms of this Warrant, but shall at all times in good faith assist in the carrying out of all such terms and in the taking of all such action as may be necessary or appropriate in order to protect the rights of the holder of this Warrant against impairment.
15. Governing Law. This Warrant and all actions arising out of or in connection with this Warrant shall be governed by and construed in accordance with the laws of the State of California, without regard to the conflicts of law provisions of the State of California or of any other state.
16. Rights and Obligations Survive Exercise of Warrant. Unless otherwise provided herein, the rights and obligations of the Company, of the holder of this Warrant and of the holder of the Shares issued upon exercise of this Warrant, shall survive the exercise of this Warrant.
[Signature Page Follows]
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Issued this ___ day of __________, 20__.
| MYND ANALYTICS, INC. | ||
| By: | ||
| Name: | ||
| Title: | ||
| Address: | 85 Enterprise, Suite 410 | |
| Aliso Viejo, CA 92656 |
| Accepted and agreed: | |
| Name and Position | |
| Address: |
[Signature Page to Form of Warrant]
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EXHIBIT A
NOTICE OF EXERCISE
| TO: | MYnd Analytics, Inc. | |
Attention: Chief Executive Officer
1. The undersigned hereby elects to purchase __________ Shares of _____________ pursuant to the terms of the attached Warrant.
2. Please issue a certificate or certificates representing said Shares in the name of the undersigned or in such other name as is specified below:
| (Name) |
| (Address) |
3. The undersigned hereby represents and warrants that the aforesaid Shares are being acquired for the account of the undersigned for investment and not with a view to, or for resale, in connection with the distribution thereof, and that the undersigned has no present intention of distributing or reselling such shares and all representations and warranties of the undersigned set forth in Section 10 of the attached Warrant are true and correct as of the date hereof.
| (Signature) | ||
| (Name) | ||
| (Date) | (Title) |
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FORM OF TRANSFER
(To be signed only upon transfer of Warrant)
FOR VALUE RECEIVED, the undersigned hereby sells, assigns and transfers unto _______________________________________________ the right represented by the attached Warrant to purchase ____________ shares of ________________________ of MYnd Analytics, Inc. to which the attached Warrant relates, and appoints ______________ Attorney to transfer such right on the books of __________, with full power of substitution in the premises.
| Dated: ____________________ |
| (Signature must conform in all respects to name of Holder as specified on the face of the Warrant) | |||
| Address: | |||
| Signed in the presence of: | |||
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| This ‘10-Q’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed as of: | 2/17/16 | NT 10-Q | ||
| Filed on: | 2/16/16 | |||
| For Period end: | 12/31/15 | NT 10-Q | ||
| List all Filings | ||||