SEC Form 4 · accession 0001437749-18-014473
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 2, 2018
Accepted (ET)
Aug 3, 2018 · 9:42 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 | Aug 2, 2018 | A | 397,693 | A | — | Aug 2, 2028 | Common Stock | 397,693 | 397,693 | D |
Explanation of responses
- F1These options were granted to Mr. Peizer for his services as the Chairman and Chief Executive Officer of the Company.
- F2These options shall vest on January 1, 2023, if the Volume Weighted Average Price of the Company's shares is above $15.00 for at least twenty (20) trading days within a period of thirty (30) consecutive trading days ending on the trading day prior to January 1, 2023.