0001437749-21-015125.txt : 20210617 0001437749-21-015125.hdr.sgml : 20210617 20210617214545 ACCESSION NUMBER: 0001437749-21-015125 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210615 FILED AS OF DATE: 20210617 DATE AS OF CHANGE: 20210617 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PEIZER TERREN S CENTRAL INDEX KEY: 0000904534 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31932 FILM NUMBER: 211026951 MAIL ADDRESS: STREET 1: 11111 SANTA MONICABLVD STE.500 CITY: LOS ANGELES STATE: CA ZIP: 90025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Acuitas Group Holdings, LLC CENTRAL INDEX KEY: 0001797168 STATE OF INCORPORATION: CA FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31932 FILM NUMBER: 211026950 BUSINESS ADDRESS: STREET 1: 2120 COLORADO AVENUE, #230 CITY: SANTA MONICA STATE: CA ZIP: 90404 BUSINESS PHONE: 310-444-4321 MAIL ADDRESS: STREET 1: 2120 COLORADO AVENUE, #230 CITY: SANTA MONICA STATE: CA ZIP: 90404 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: 2120 COLORADO AVE STREET 2: SUITE 230 CITY: SANTA MONICA STATE: CA ZIP: 90404 BUSINESS PHONE: 310 444 4300 MAIL ADDRESS: STREET 1: 2120 COLORADO AVE STREET 2: SUITE 230 CITY: SANTA MONICA STATE: CA ZIP: 90404 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 X0306 4 2021-06-15 0001136174 Ontrak, Inc. OTRK 0000904534 PEIZER TERREN S 2120 COLORADO AVENUE, #230 SANTA MONICA CA 90404 1 1 1 Executive Chairman 0001797168 Acuitas Group Holdings, LLC 2120 COLORADO AVENUE, #230 SANTA MONICA CA 90404 1 Common Stock 2021-06-15 4 S 0 8332 32.1854 D 9376886 I By Acuitas Common Stock 2021-06-15 4 S 0 2668 32.8389 D 9374218 I By Acuitas Common Stock 2021-06-16 4 S 0 5882 32.9406 D 9368336 I By Acuitas Common Stock 2021-06-16 4 S 0 5118 33.5387 D 9363218 I By Acuitas Common Stock 2021-06-17 4 S 0 4493 33.4603 D 9358725 I By Acuitas Common Stock 2021-06-17 4 S 0 5902 34.29870 D 9352823 I By Acuitas Common Stock 2021-06-17 4 S 0 605 34.8817 D 9352218 I By Acuitas This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas"). Mr. Peizer is the Chairman and sole member of Acuitas and, in such capacity, exercises voting and investment power over any securities held for the accounts of Acuitas. Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on May 10, 2021. The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $31.72 to $32.65, inclusive. The Reporting Persons undertake to provide the issuer, any security holder of the issuer, and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $32.72 to $33.07, inclusive. The Reporting Persons undertake to provide the issuer, any security holder of the issuer, and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $32.22 to $33.21, inclusive. The Reporting Persons undertake to provide the issuer, any security holder of the issuer, and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $33.22 to $33.98, inclusive. The Reporting Persons undertake to provide the issuer, any security holder of the issuer, and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $32.84 to $33.82, inclusive. The Reporting Persons undertake to provide the issuer, any security holder of the issuer, and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $33.85 to $34.75, inclusive. The Reporting Persons undertake to provide the issuer, any security holder of the issuer, and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $34.86 to $34.90, inclusive. The Reporting Persons undertake to provide the issuer, any security holder of the issuer, and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. /s/ Terren S. Peizer 2021-06-17 /s/ Terren S. Peizer Acuitas Group Holdings, LLC, Terren S. Peizer, Chairman 2021-06-17