0001437749-21-021431.txt : 20210902
0001437749-21-021431.hdr.sgml : 20210902
20210902214610
ACCESSION NUMBER: 0001437749-21-021431
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210831
FILED AS OF DATE: 20210902
DATE AS OF CHANGE: 20210902
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: 211235030
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: 211235029
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
2021-08-31
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
2021-08-31
4
S
0
14433
11.8384
D
9398289
I
By Acuitas
Common Stock
2021-08-31
4
S
0
567
12.39870
D
9397722
I
By Acuitas
Common Stock
2021-09-01
4
S
0
15000
11.9677
D
9382722
I
By Acuitas
Common Stock
2021-09-02
4
S
0
11824
12.3357
D
9370898
I
By Acuitas
Common Stock
2021-09-02
4
S
0
3176
12.9507
D
9367722
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 August 13, 2021.
The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $11.335 to $12.33, 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 $12.335 to $12.48, 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 $11.56 to $12.32, 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 $11.77 to $12.765, 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 $12.77 to $13.30, 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/ Acuitas Group Holdings, LLC, Terren S. Peizer, Chairman
2021-09-02
/s/ Terren S. Peizer
2021-09-02