0001437749-22-022060.txt : 20220908 0001437749-22-022060.hdr.sgml : 20220908 20220908161502 ACCESSION NUMBER: 0001437749-22-022060 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220907 FILED AS OF DATE: 20220908 DATE AS OF CHANGE: 20220908 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: 221233965 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: 221233964 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: 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 rdgdoc.xml FORM 4 X0306 4 2022-09-07 0001136174 Ontrak, Inc. OTRK 0000904534 PEIZER TERREN S 2001 WILSHIRE BLVD., STE 330 SANTA MONICA CA 90403 1 1 1 Chief Executive Officer 0001797168 Acuitas Group Holdings, LLC 2001 WILSHIRE BLVD., STE 330 SANTA MONICA CA 90403 1 Warrant 1.69 2022-09-07 4 A 0 710059 A 2027-09-07 Common Stock 710059 710059 I By Acuitas This Form 4 is jointly filed by Terren S. 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. This warrant was issued to Acuitas in connection with the purchase by Acuitas Capital LLC ("Acuitas Capital"), an entity wholly owned by Acuitas, from the issuer of a senior secured note in the principal amount of $6,000,000 pursuant to that certain Master Note Purchase Agreement among the issuer, Acuitas Capital and certain other parties dated as of April 15, 2022. /s/ Acuitas Group Holdings, LLC by Terren S. Peizer 2022-09-08 /s/ Terren S. Peizer 2022-09-08