SEC Form 4 · accession 0001209191-17-009207
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
Jan 31, 2017
Accepted (ET)
Feb 9, 2017 · 6:08 pm EST
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 | $0.85 | Jan 31, 2017 | J | 88,235 | A | Jan 31, 2017 | Jan 31, 2022 | Common Stock | 88,235 | 88,235 | I |
Explanation of responses
- F1On January 31, 2017, Catasys, Inc. ("Catasys") issued to Shamus, LLC ("Shamus") a warrant exercisable for 88,235 shares of Catasys common stock at the exercise price of $0.85 per share (the "Warrant"), subject to potential future adjustment pursuant to the provisions of the Warrant. The Warrant was issued to Shamus in connection with a debt financing from Shamus to Catasys pursuant to an 8% Series B convertible debenture dated as of December 29, 2016 (the "Debenture").