SEC Form 4 · accession 0001209191-17-021074
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
Mar 15, 2017
Accepted (ET)
Mar 16, 2017 · 3:39 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001136174
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.0001 per share | Mar 15, 2017 | C | 927,024 | $1.10 | A | 10,984,098 | I | Through Shamus, LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible DebentureF1 | $1.10 | Mar 15, 2017 | C | — | D | Dec 15, 2016 | Mar 15, 2017 | Common Stock, par value $0.0001 per share | 927,024 | 0 | I |
Explanation of responses
- F1On March 15, 2017, Shamus, LLC converted $1,019,726 principal amount of an 8% senior convertible debenture, dated as of December 15, 2016, into 927,024 shares of Catasys, Inc. common stock at the conversion price of $1.10 per share.