SEC Form 4 · accession 0001437749-15-008206
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
Feb 17, 2015
Accepted (ET)
Apr 28, 2015 · 4:08 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option to purchase Common StockF1 | $2.20 | Feb 17, 2015 | A | 200,000 | A | — | Feb 17, 2025 | Common Stock | 200,000 | 200,000 | D |
Explanation of responses
- F1These securities were granted to Mr. Smith for his service on our Board of Directors. These options have a three-year vesting period with one-year vesting immediately and the remainder of the options vesting equally over the next 24 months. All unvested options will immediately vest in the event of termination without cause and are transferable upon death.