SEC Form 4 · accession 0001437749-15-010743

CATASYS, INC. · CATS

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

Reporting owner

Director · 10% Owner

Period of report

May 18, 2015

Accepted (ET)

May 20, 2015 · 9:10 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	May 18, 2015	J	831,250	—	A	5,503,509	I	Through Shamus, LLC
Common Stock, par value $0.0001 per share^F1	May 18, 2015	J	690,000	—	A	6,193,509	I	Through Shamus, LLC
Common Stock, par value $0.0001 per share^F1	May 18, 2015	J	665,000	—	A	6,858,509	I	Through Shamus, LLC
Common Stock, par value $0.0001 per share^F1	May 18, 2015	J	714,286	—	A	7,572,795	I	Through Shamus, LLC
Common Stock, par value $0.0001 per share^F1	May 18, 2015	J	325,715	—	A	7,898,510	I	Through Shamus, LLC
Common Stock, par value $0.0001 per share^F1	May 18, 2015	J	862,069	—	A	8,760,579	I	Through Shamus, LLC
Common Stock, par value $0.0001 per share^F1	May 18, 2015	J	344,828	—	A	9,105,407	I	Through Shamus, LLC

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Warrant^F1	$0.58	May 18, 2015	J	831,250	D	Apr 17, 2012	Apr 17, 2017	Common Stock	831,250	I
Warrant^F1	$0.58	May 18, 2015	J	690,000	D	Dec 27, 2011	Dec 27, 2016	Common Stock	690,000	I
Warrant^F1	$0.58	May 18, 2015	J	665,000	D	Sep 13, 2012	Sep 13, 2017	Common Stock	665,000	I
Warrant^F1	$0.58	May 18, 2015	J	714,286	D	Dec 4, 2012	Dec 4, 2017	Common Stock	714,286	I
Warrant^F1	$0.58	May 18, 2015	J	325,715	D	Apr 10, 2013	Apr 10, 2018	Common Stock	324,715	I
Warrant^F1	$0.58	May 18, 2015	J	862,069	D	Oct 15, 2013	Oct 15, 2018	Common Stock	862,069	I
Warrant^F1	$0.58	May 18, 2015	J	344,828	D	May 27, 2014	May 24, 2019	Common Stock	344,828	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.