SEC Form 4 · accession 0001209191-16-137601
CATASYS, INC. · CATS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David E Smith
Director · 10% Owner
Period of report
Aug 15, 2016
Accepted (ET)
Aug 17, 2016 · 5:22 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001136174
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantF1 | $1.10 | Aug 15, 2016 | J | 318,182 | A | Aug 15, 2016 | Aug 15, 2021 | Common Stock | 318,182 | 318,182 | I |
Explanation of responses
- F1On August 15, 2016, Catasys, Inc. ("Catasys") issued to Shamus, LLC ("Shamus") a warrant exercisable for 318,182 shares of Catasys common stock at the exercise price of $1.10 per share (the "Warrant"), subject to potential future adjustment pursuant to the provisions of the Warrant. The Warrant was issued to Shamus concurrently and in connection with a debt financing from Shamus to Catasys pursuant to a secured promissory note dated as of August 15, 2016.