SEC Form 4 · accession 0001437749-16-037735
CATASYS, INC. · CATS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Terren S Peizer
Officer — Chairman & CEO · Director · 10% Owner
Period of report
Aug 15, 2016
Accepted (ET)
Aug 17, 2016 · 9:53 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to purchaseF2,F3,F1 | $1.10 | Aug 15, 2016 | P | 71,591 | A | Aug 15, 2016 | Aug 15, 2021 | Common Stock | 71,591 | 71,591 | I |
Explanation of responses
- F1The exercise price is subject to potential future adjustment pursuant to a price protection provision included in the warrant.
- F2The warrants were issued as consideration for an exchange of the reporting person's senior demand notes for short-term senior promissory notes and increase of the exercise price to $1.10 of certain outstanding warrants.
- F3The reporting person is the Managing Director and 100% owner of Acuitas Group Holdings, LLC, and may be deemed to beneficially own or control the securities. The reporting person disclaims beneficial ownership of any such securities.