SEC Form 4 · accession 0001437749-15-010742

CATASYS, INC. · CATS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chairman & CEO · Director · 10% Owner

Period of report

May 18, 2015

Accepted (ET)

May 20, 2015 · 9:09 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^F1,F2	May 18, 2015	J	62,500	—	A	15,650,902	I	By Crede CG III, Ltd.
Common Stock, par value $0.0001 per share^F1,F2	May 18, 2015	J	849,330	—	A	16,500,232	I	By Crede CG III, Ltd.
Common Stock, par value $0.0001 per share^F1,F2	May 18, 2015	J	325,000	—	A	16,825,232	I	By Crede CG III, Ltd.
Common Stock, par value $0.0001 per share^F1,F2	May 18, 2015	J	1,096,505	—	A	16,825,232	I	By Crede CG III, Ltd.
Common Stock, par value $0.0001 per share^F1,F2	May 18, 2015	J	981,000	—	A	21,370,013	I	By Crede CG III, Ltd.
Common Stock, par value $0.0001 per share^F1,F2	May 18, 2015	J	3,571,429	—	A	22,351,013	I	By Crede CG III, Ltd.
Common Stock, par value $0.0001 per share^F1,F2	May 18, 2015	J	1,730,000	—	A	25,922,442	I	By Crede CG III, Ltd.
Common Stock, par value $0.0001 per share^F1,F2	May 18, 2015	J	3,448,276	—	A	27,652,442	I	By Crede CG III, Ltd.
Common Stock, par value $0.0001 per share^F1,F2	May 18, 2015	J	2,077,587	—	A	29,730,029	I	By Crede CG III, Ltd.
Common Stock, par value $0.0001 per share^F1,F2	May 18, 2015	J	1,585,345	—	A	31,315,374	I	By Crede CG III, Ltd.
Common Stock, par value $0.0001 per share^F2	holding	—	—		—	32,750	I	By Reserva Capital Group, LLC
Common Stock, par value $0.0001 per share^F2	holding	—	—		—	56,792	I	By Bonmore, LLC

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Warrant^F1,F2	$0.58	May 18, 2015	J	62,500	D	Oct 19, 2010	Oct 19, 2015	Common Stock	62,500	I
Warrant^F1,F2	$0.58	May 18, 2015	J	849,330	D	Dec 27, 2011	Dec 27, 2016	Common Stock	849,330	I
Warrant^F1,F2	$0.58	May 18, 2015	J	325,000	D	Feb 22, 2012	Feb 22, 2017	Common Stock	325,000	I
Warrant^F1,F2	$0.58	May 18, 2015	J	1,096,505	D	Apr 17, 2012	Apr 17, 2017	Common Stock	1,096,505	I
Warrant^F1,F2	$0.58	May 18, 2015	J	981,000	D	Sep 13, 2012	Sep 13, 2017	Common Stock	981,000	I
Warrant^F1,F2	$0.58	May 18, 2015	J	3,571,429	D	Dec 4, 2012	Dec 4, 2017	Common Stock	3,571,429	I
Warrant^F1,F2	$0.58	May 18, 2015	J	1,730,000	D	Apr 10, 2013	Apr 10, 2018	Common Stock	1,730,000	I
Warrant^F1,F2	$0.58	May 18, 2015	J	3,448,276	D	Oct 15, 2013	Oct 15, 2018	Common Stock	3,448,276	I
Warrant^F1,F2	$0.58	May 18, 2015	J	2,077,587	D	May 27, 2014	May 27, 2019	Common Stock	2,077,587	I
Warrant^F1,F2	$0.58	May 18, 2015	J	1,585,345	D	Jan 31, 2014	Jan 31, 2019	Common Stock	1,585,345	I

F1On May18, 2015, the issuer canceled, pursuant to a warrant exchange agreement by and between the issuer and the reporting person, these warrants to purchase shares of common stock of the issuer that were owned by the reporting person. In exchange for the cancelation of the warrants, the reporting person received shares of the issuer's common stock.
F2The reporting person is the Managing Director of Crede CG III, Ltd., Reserva Capital Group, LLC and Bonmore, LLC, and may be deemed to beneficially own or control the securities. The reporting person disclaims beneficial ownership of any such securities.