Filing Details

Accession Number:
0001437749-18-004700
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-03-15 08:16:27
Reporting Period:
2017-12-19
Accepted Time:
2018-03-15 08:16:27
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1136174 Catasys Inc. CATS Services-Misc Health & Allied Services, Nec (8090) 880464853
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1730468 Edward Michael Sherman 11601 Wilshire Blvd
Suite 1100
Los Angeles CA 90025
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.0001 Acquisiton 2018-03-12 1,000 $4.75 1,000 No 4 P Direct
Common Stock, Par Value $0.0001 Acquisiton 2018-03-12 1,500 $4.76 2,500 No 4 P Direct
Common Stock, Par Value $0.0001 Acquisiton 2018-03-12 1,800 $4.77 4,300 No 4 P Direct
Common Stock, Par Value $0.0001 Acquisiton 2018-03-13 58 $4.74 4,358 No 4 P Direct
Common Stock, Par Value $0.0001 Acquisiton 2018-03-13 873 $4.75 5,231 No 4 P Direct
Common Stock, Par Value $0.0001 Acquisiton 2018-03-13 609 $4.76 5,840 No 4 P Direct
Common Stock, Par Value $0.0001 Acquisiton 2018-03-13 1,210 $4.77 7,050 No 4 P Direct
Common Stock, Par Value $0.0001 Acquisiton 2018-03-13 2,500 $4.80 9,550 No 4 P Direct
Common Stock, Par Value $0.0001 Acquisiton 2018-03-13 6,000 $4.83 15,550 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option to purchase Common Stock Acquisiton 2017-12-19 61,040 $0.00 61,040 $7.50
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
61,040 2022-12-19 No 4 A Direct
Footnotes
  1. These securities were granted to Mr. Sherman for his services as a member of the Company's Board of Directors and Chairman of the Nominations and Governance Committee.
  2. These options have a three-year vesting period out of which 18,771 shares vested on December 19, 2017, the grant date, and 42,269 shares shall vest at the end of each calendar quarter for the 2018 and 2019 calendar years, such that all shares shall vest on December 31, 2019. Quarterly vesting of the option will be subject to Mr. Sherman attending board meetings, unless such absence is excused by the Chairman of the board. All unvested options will immediately vest in the event of termination without cause.