Filing Details

Accession Number:
0001437749-21-022061
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-09-13 21:45:49
Reporting Period:
2021-09-09
Accepted Time:
2021-09-13 21:45:49
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
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2021-09-09 15,000 $11.69 9,307,722 No 4 S Indirect By Acuitas
Common Stock Disposition 2021-09-10 15,000 $11.14 9,292,722 No 4 S Indirect By Acuitas
Common Stock Disposition 2021-09-13 15,000 $11.00 9,277,722 No 4 S Indirect By Acuitas
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect By Acuitas
No 4 S Indirect By Acuitas
No 4 S Indirect By Acuitas
Footnotes
  1. 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.
  2. Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021.
  3. The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $11.02 to $11.94, 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.
  4. The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $10.885 to $11.66, 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.
  5. The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $10.515 to $11.26, 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.