0001593968-22-001306.txt : 20220805 0001593968-22-001306.hdr.sgml : 20220805 20220805164648 ACCESSION NUMBER: 0001593968-22-001306 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220726 FILED AS OF DATE: 20220805 DATE AS OF CHANGE: 20220805 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Feld Judith CENTRAL INDEX KEY: 0001940593 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31932 FILM NUMBER: 221141478 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 3 1 primary_01.xml PRIMARY DOCUMENT X0206 3 2022-07-26 0 0001136174 Ontrak, Inc. OTRK 0001940593 Feld Judith 2200 PASEO VERDE PARKWAY SUITE 280 HENDERSON NV 89052 false true false false Chief Medical Officer Common Stock 2854.67 I by 401(k) Plan Option (right to buy) 1.73 2023-04-12 2029-04-12 Ontrak, Inc. Common Stock 18500 D Option (right to buy) 5.74 2022-12-16 2028-12-16 Ontrak, Inc. Common Stock 1000 D Restricted Stock Unit Ontrak, Inc. Common Stock 2000 D On July 26,2022, Ms. Feld became the Chief Medical Officer of the Company. As of August 4, 2022, Ms. Feld has acquired 2,854.67 shares of the Company's common stock under the Company's 401(k) plan. 25% of these options vest one year from the date of grant and the remaining options vest in 12 equal quarterly installments thereafter over the next three years. 20% of these options vest one year from the date of grant and the remaining options vest in 16 equal quarterly installments on the last day of each quarter beginning January 1, 2023 over the next four years. Each restricted stock unit ("RSU") represents the right to receive one share of common stock upon vesting, or, in the complete and sole discretion of the Company, a cash payment equal to the fair market value of one share of common stock for each vested RSU. The RSU's vest over five years as follows: 40% vest on the second anniversary of the grant date and 20% vest on the third, fourth and fifth anniversaries of the grant date subject to Ms. Feld's continued employment with the Company. /s/ Judith Feld 2022-08-05