Matthew Schwartz - Apr 5, 2022 Form 4 Insider Report for THERALINK TECHNOLOGIES, INC. (THER)

Role
Director
Signature
/s/ Matthew Wilson Schwartz
Stock symbol
THER
Transactions as of
Apr 5, 2022
Transactions value $
$100,000
Form type
4
Date filed
9/26/2022, 04:19 PM
Previous filing
Jun 21, 2022
Next filing
Jan 26, 2024

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction THER 8% Convertible Promissory Note Other $100K $100K Apr 5, 2022 Common Stock 21M $0.00 Direct F1, F2
transaction THER Warrant (right to buy) Other $0 +4.2M $0.00 4.2M Apr 5, 2022 Common Stock 4.2M $0.00 Direct F3
transaction THER Stock Option (right to buy) Award $0 +5.19M $0.00 5.19M Sep 16, 2022 Common Stock 5.19M $0.00 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Reporting Person purchased this promissory note from the corporation.
F2 Excludes shares issuable at the election of the Reporting Person upon conversion of accrued interest (both past and future) into shares of common stock.
F3 Granted to the Reporting Person as warrant coverage in connection with the convertible promissory note reported on this Table II.
F4 The stock options reported in this Form 4 will become exercisable upon the filing by the corporation of an S-8 registration statement covering its 2022 Equity Incentive Plan.