0001209191-17-009207.txt : 20170209 0001209191-17-009207.hdr.sgml : 20170209 20170209180804 ACCESSION NUMBER: 0001209191-17-009207 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170131 FILED AS OF DATE: 20170209 DATE AS OF CHANGE: 20170209 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CATASYS, 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: 11601 WILSHIRE BLVD. STREET 2: SUITE 1100 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: 310 444 4300 MAIL ADDRESS: STREET 1: 11601 WILSHIRE BLVD. STREET 2: SUITE 1100 CITY: LOS ANGELES STATE: CA ZIP: 90025 FORMER COMPANY: FORMER CONFORMED NAME: HYTHIAM, INC. DATE OF NAME CHANGE: 20101029 FORMER COMPANY: FORMER CONFORMED NAME: HYTHIAM INC DATE OF NAME CHANGE: 20031003 FORMER COMPANY: FORMER CONFORMED NAME: ALASKA FREIGHTWAYS INC DATE OF NAME CHANGE: 20010305 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith David E CENTRAL INDEX KEY: 0001378591 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31932 FILM NUMBER: 17588860 MAIL ADDRESS: STREET 1: 888 LINDA FLORA DRIVE CITY: LOS ANGELES STATE: CA ZIP: 90049 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-01-31 0 0001136174 CATASYS, INC. CATS:OTC 0001378591 Smith David E C/O COAST ASSET MANAGEMENT, LLC 11150 SANTA MONICA BOULEVARD, SUITE 1400 LOS ANGELES CA 90025 1 0 1 0 Warrant 0.85 2017-01-31 4 J 0 88235 A 2017-01-31 2022-01-31 Common Stock 88235 88235 I Through Shamus, LLC On January 31, 2017, Catasys, Inc. ("Catasys") issued to Shamus, LLC ("Shamus") a warrant exercisable for 88,235 shares of Catasys common stock at the exercise price of $0.85 per share (the "Warrant"), subject to potential future adjustment pursuant to the provisions of the Warrant. The Warrant was issued to Shamus in connection with a debt financing from Shamus to Catasys pursuant to an 8% Series B convertible debenture dated as of December 29, 2016 (the "Debenture"). /s/ David Smith 2017-02-09