0001437749-23-015638.txt : 20230524 0001437749-23-015638.hdr.sgml : 20230524 20230524060835 ACCESSION NUMBER: 0001437749-23-015638 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230519 FILED AS OF DATE: 20230524 DATE AS OF CHANGE: 20230524 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Feld Judith CENTRAL INDEX KEY: 0001940593 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31932 FILM NUMBER: 23950503 MAIL ADDRESS: STREET 1: 2200 PASEO VERDE PARKWAY STREET 2: SUITE 280 CITY: HENDERSON STATE: NV ZIP: 89052 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Ontrak, Inc. CENTRAL INDEX KEY: 0001136174 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MISC HEALTH & ALLIED SERVICES, NEC [8090] IRS NUMBER: 880464853 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2200 PASEO VERDE PARKWAY STREET 2: SUITE 280 CITY: HENDERSON STATE: NV ZIP: 89052 BUSINESS PHONE: 310 444 4300 MAIL ADDRESS: STREET 1: 2200 PASEO VERDE PARKWAY STREET 2: SUITE 280 CITY: HENDERSON STATE: NV ZIP: 89052 FORMER COMPANY: FORMER CONFORMED NAME: CATASYS, INC. DATE OF NAME CHANGE: 20110316 FORMER COMPANY: FORMER CONFORMED NAME: HYTHIAM, INC. DATE OF NAME CHANGE: 20101029 FORMER COMPANY: FORMER CONFORMED NAME: HYTHIAM INC DATE OF NAME CHANGE: 20031003 4 1 rdgdoc.xml FORM 4 X0407 4 2023-05-19 0001136174 Ontrak, Inc. OTRK 0001940593 Feld Judith 2200 PASEO VERDE PARKWAY, SUITE 280 HENDERSON NV 89052 1 Chief Medical Officer 0 Option (right to buy) 0.41 2023-05-19 4 A 0 1000 A 2028-12-16 Common Stock 1000 1000 D Option (right to buy) 5.74 2023-05-19 4 D 0 1000 D 2028-12-16 Common Stock 1000 0 D Option (right to buy) 0.41 2023-05-19 4 A 0 18500 A 2029-04-12 Common Stock 18500 18500 D Option (right to buy) 1.73 2023-05-19 4 D 0 18500 D 2029-04-12 Common Stock 18500 0 D 200 of these shares vested on December 16, 2022 and the remaining shares vest equally on the last day of each quater beginning January 1, 2023 over the following four years, such that all shares shall be vested on December 16, 2026. There was no change to the vesting schedule in connection with the repricing transaction on May 19, 2023. The reporting person agreed to the repricing of options originally granted to her on December 16, 2021 and April 12, 2022. 4,625 of these shares vested on April 12, 2023 and the remaining shares vest equally each quarter thereafter over the following three years, such that all shares shall be vested on April 12, 2026. There was no change to the vesting schedule in connection with the repricing transaction on May 19, 2023. /s/ Judith Feld 2023-05-23