0001593968-23-000085.txt : 20230105 0001593968-23-000085.hdr.sgml : 20230105 20230105172909 ACCESSION NUMBER: 0001593968-23-000085 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230103 FILED AS OF DATE: 20230105 DATE AS OF CHANGE: 20230105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sherman Michael Edward CENTRAL INDEX KEY: 0001730468 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31932 FILM NUMBER: 23512555 MAIL ADDRESS: STREET 1: C/O BIOVIE STREET 2: 2120 COLORADO AVENUE, SUITE 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: 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 primary_01.xml PRIMARY DOCUMENT X0306 4 2023-01-03 0001136174 Ontrak, Inc. OTRK 0001730468 Sherman Michael Edward 2200 PASEO VERDE PARKWAY SUITE 280 HENDERSON NV 89052 true false false false Option (right to buy) 0.36 2023-01-03 4 A false 321345 0 A 2023-03-31 2030-01-03 Ontrak, Inc. Common Stock 321345 321345 D These securities were granted to Mr. Sherman for his services as a member of the Company's Board of Directors, Lead Independent Director, and Chairman of the Compensation Committee and the Nominations and Governance Committee. 25% of these options shall vest at the at the end of each quarter beginning January 1, 2023, such that all shares pursuant to the option shall be vested on December 31, 2023. Quarterly vesting of the options will be subject to Mr. Sherman attending board meetings, unless such absence is excused by the Chairman of the Board. /s/ Michael Sherman 2023-01-05