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Filing Details

Accession Number:: 0001437749-21-019935
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-08-13 21:46:07
Reporting Period:: 2021-08-11

Accepted Time:: 2021-08-13 21:46:07
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1136174	Ontrak Inc.	OTRK	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
904534	S Terren Peizer	2120 Colorado Avenue, #230 Santa Monica CA 90404	Executive Chairman	Yes	Yes	Yes	No
1797168	Acuitas Group Holdings, Llc	2120 Colorado Avenue, #230 Santa Monica CA 90404		No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2021-08-11	170,473	$4.80	9,284,628	No	4	X	Indirect	By Acuitas
Common Stock	Acquisiton	2021-08-11	58,824	$4.80	9,343,452	No	4	X	Indirect	By Acuitas
Common Stock	Acquisiton	2021-08-11	137,883	$4.80	9,481,335	No	4	X	Indirect	By Acuitas
Common Stock	Acquisiton	2021-08-11	61,765	$4.80	9,543,100	No	4	X	Indirect	By Acuitas
Common Stock	Acquisiton	2021-08-11	49,020	$4.80	9,592,120	No	4	X	Indirect	By Acuitas
Common Stock	Acquisiton	2021-08-11	49,020	$4.80	9,641,140	No	4	X	Indirect	By Acuitas
Common Stock	Acquisiton	2021-08-11	36,275	$4.80	9,677,415	No	4	X	Indirect	By Acuitas
Common Stock	Disposition	2021-08-11	30,173	$27.12	9,647,242	No	4	S	Indirect	By Acuitas
Common Stock	Disposition	2021-08-11	10,411	$27.12	9,636,831	No	4	S	Indirect	By Acuitas
Common Stock	Disposition	2021-08-11	24,405	$27.12	9,612,426	No	4	S	Indirect	By Acuitas
Common Stock	Disposition	2021-08-11	10,932	$27.12	9,601,494	No	4	S	Indirect	By Acuitas
Common Stock	Disposition	2021-08-11	8,676	$27.12	9,592,818	No	4	S	Indirect	By Acuitas
Common Stock	Disposition	2021-08-11	8,676	$27.12	9,584,142	No	4	S	Indirect	By Acuitas
Common Stock	Disposition	2021-08-11	6,420	$27.12	9,577,722	No	4	S	Indirect	By Acuitas

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	X	Indirect	By Acuitas
No	4	X	Indirect	By Acuitas
No	4	X	Indirect	By Acuitas
No	4	X	Indirect	By Acuitas
No	4	X	Indirect	By Acuitas
No	4	X	Indirect	By Acuitas
No	4	X	Indirect	By Acuitas
No	4	S	Indirect	By Acuitas
No	4	S	Indirect	By Acuitas
No	4	S	Indirect	By Acuitas
No	4	S	Indirect	By Acuitas
No	4	S	Indirect	By Acuitas
No	4	S	Indirect	By Acuitas
No	4	S	Indirect	By Acuitas

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrants to Purchase	Disposition	2021-08-11	170,473	$0.00	170,473	$4.80
Common Stock	Warrants to Purchase	Disposition	2021-08-11	58,824	$0.00	58,824	$4.80
Common Stock	Warrants to Purchase	Disposition	2021-08-11	137,883	$0.00	137,883	$4.80
Common Stock	Warrants to Purchase	Disposition	2021-08-11	61,765	$0.00	61,765	$4.80
Common Stock	Warrants to Purchase	Disposition	2021-08-11	49,020	$0.00	49,020	$4.80
Common Stock	Warrants to Purchase	Disposition	2021-08-11	49,020	$0.00	49,020	$4.80
Common Stock	Warrants to Purchase	Disposition	2021-08-11	36,275	$0.00	36,275	$4.80

Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
2016-12-15	2021-12-15	No	4	X	Indirect
2017-01-31	2022-01-31	No	4	X	Indirect
2017-01-31	2022-01-31	No	4	X	Indirect
2017-02-17	2022-02-17	No	4	X	Indirect
2017-03-06	2022-03-06	No	4	X	Indirect
2017-03-28	2022-03-28	No	4	X	Indirect
2017-04-13	2022-04-13	No	4	X	Indirect

Footnotes

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.
After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017.
On August 11, 2021, Acuitas exercised a warrant to purchase 170,473 shares of the issuer's common stock for $4.80 per share. Acuitas paid the exercise prices on a cashless basis, resulting in the issuer's withholding of warrant shares to pay the applicable exercise price and issuing to Acuitas the remaining 140,300 shares.
On August 11, 2021, Acuitas exercised a warrant to purchase 58,824 shares of the issuer's common stock for $4.80 per share. Acuitas paid the exercise prices on a cashless basis, resulting in the issuer's withholding of warrant shares to pay the applicable exercise price and issuing to Acuitas the remaining 48,413 shares.
On August 11, 2021, Acuitas exercised a warrant to purchase 137,883 shares of the issuer's common stock for $4.80 per share. Acuitas paid the exercise prices on a cashless basis, resulting in the issuer's withholding of warrant shares to pay the applicable exercise price and issuing to Acuitas the remaining 113,478 shares.
On August 11, 2021, Acuitas exercised a warrant to purchase 61,765 shares of the issuer's common stock for $4.80 per share. Acuitas paid the exercise prices on a cashless basis, resulting in the issuer's withholding of warrant shares to pay the applicable exercise price and issuing to Acuitas the remaining 50,833 shares.
On August 11, 2021, Acuitas exercised a warrant to purchase 49,020 shares of the issuer's common stock for $4.80 per share. Acuitas paid the exercise prices on a cashless basis, resulting in the issuer's withholding of warrant shares to pay the applicable exercise price and issuing to Acuitas the remaining 40,344 shares.
On August 11, 2021, Acuitas exercised a warrant to purchase 49,020 shares of the issuer's common stock for $4.80 per share. Acuitas paid the exercise prices on a cashless basis, resulting in the issuer's withholding of warrant shares to pay the applicable exercise price and issuing to Acuitas the remaining 40,344 shares.
On August 11, 2021, Acuitas exercised a warrant to purchase 36,275 shares of the issuer's common stock for $4.80 per share. Acuitas paid the exercise prices on a cashless basis, resulting in the issuer's withholding of warrant shares to pay the applicable exercise price and issuing to Acuitas the remaining 29,855 shares.