SEC Form 4 · accession 0001437749-18-007728
CATASYS, INC. · CATS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Allan Anderson
Officer — President & COO · Director
Period of report
Apr 10, 2018
Accepted (ET)
Apr 25, 2018 · 8:33 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,F2 | $7.50 | Apr 10, 2018 | A | 642,307 | A | — | Apr 10, 2028 | Common Stock | 642,307 | 642,307 | D |
Explanation of responses
- F1These options were granted to Mr. Anderson for his services as the President and Chief Operating Officer of the Company.
- F2These options shall vest in five equal tranches, each of which will vest only upon the satisfaction of performance targets established by the Board of Directors and certified as having been met by the Compensation Committee for fiscal years 2018 through 2022, respectively.