Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BIOVIE INC.BIVI · Entity 7702 | Director · 10% owner | November 23, 2022 | January 18, 2023 |
| EVmo, Inc.YAYO · Entity 117051 | Director · 10% owner | May 18, 2022 | May 19, 2022 |
| Ontrak, Inc.OTRK · Entity 78207 | 10% owner | June 20, 2025 | June 24, 2025 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BIOVIE INC.
Report date November 23, 2022 · Filed January 18, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| STOCK OPTION (RIGHT TO BUY)SEC Table II · derivative / convertible security · Conversion / exercise price $6.12 · Expires 2032-11-23 | Direct | 65,000 |
Reported balance
After 2022-11-23 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-11-23 · Grant · Acquired 65,000 · Balance 65,000 F1: Options granted pursuant to the Company's 2019 Omnibus Equity Incentive Plan. F2: The options vest in four equal installments over a one-year period ending November 9, 2023. |
Filing footnotes · ownership attribution and instrument terms
F1: Options granted pursuant to the Company's 2019 Omnibus Equity Incentive Plan.
F2: The options vest in four equal installments over a one-year period ending November 9, 2023.
EVmo, Inc.
Report date May 18, 2022 · Filed May 19, 2022
Jointly reported with Acuitas Group Holdings, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Acuitas | 12,616,819 |
Reported balance
After 2022-05-18 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-05-18 · Purchase · Acquired 129,800 · Balance 12,616,819 F1: 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. The issuer's board of directors appointed Mr. Peizer as its Executive Chairman, effective as of February 26, 2021. F2: The shares of Common Stock were purchased in two (2) separate transactions for a range of prices from $0.27992 to $0.27994 which have been weighted and aggregated and reported on the line and rounded to the nearest thousandth. F3: The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price. |
Filing footnotes · ownership attribution and instrument terms
F1: 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. The issuer's board of directors appointed Mr. Peizer as its Executive Chairman, effective as of February 26, 2021.
F2: The shares of Common Stock were purchased in two (2) separate transactions for a range of prices from $0.27992 to $0.27994 which have been weighted and aggregated and reported on the line and rounded to the nearest thousandth.
F3: The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.
Ontrak, Inc.
Report date June 20, 2025 · Filed June 24, 2025
Jointly reported with Acuitas Group Holdings, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Humanitario | 2,305,480 |
Reported balance
After 2025-06-20 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-06-20 · Other · Acquired 500,000 · Balance 2,305,480 F1: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas") with respect to the issuer Ontrak, Inc. ("Ontrak"). 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. Humanitario Capital LLC is an entity wholly owned by Mr. Peizer. |
| Pre-Funded Common Stock Purchase WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectBy Humanitario | 799,575 |
Reported balance
After 2025-06-20 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-06-20 · Other · Disposed 500,000 · Balance 799,575 F2: As previously disclosed, the Pre-Funded Warrant (as previously defined) may be exercised at any time until exercised in full. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is jointly filed by Terren S. Peizer ("Mr. Peizer") and Acuitas Group Holdings, LLC ("Acuitas") with respect to the issuer Ontrak, Inc. ("Ontrak"). 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. Humanitario Capital LLC is an entity wholly owned by Mr. Peizer.
F2: As previously disclosed, the Pre-Funded Warrant (as previously defined) may be exercised at any time until exercised in full.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 30, 2021 Filed Aug 31, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 2,368 | $12.88 | $30,507.18 |
DisclosureSEC source: 0001437749-21-021278 · rdgdoc.xml · nonDerivative · entry 3 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,412,722 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F5 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $12.56 to $13.45, 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. Read SEC document |
| August 30, 2021 Filed Aug 31, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 12,632 | $12.06 | $152,368.45 |
DisclosureSEC source: 0001437749-21-021278 · rdgdoc.xml · nonDerivative · entry 2 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,415,090 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F4 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $11.56 to $12.555, 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. Read SEC document |
| August 27, 2021 Filed Aug 31, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 15,000 | $11.19 | $167,862.00 |
DisclosureSEC source: 0001437749-21-021278 · rdgdoc.xml · nonDerivative · entry 1 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,427,722 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F3 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $10.76 to $11.745, 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. Read SEC document |
| August 26, 2021 Filed Aug 26, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 1,471 | $12.30 | $18,086.24 |
DisclosureSEC source: 0001437749-21-021057 · rdgdoc.xml · nonDerivative · entry 5 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,442,722 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F7 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $12.17 to $12.44, 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. Read SEC document |
| August 26, 2021 Filed Aug 26, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 13,529 | $11.52 | $155,840.55 |
DisclosureSEC source: 0001437749-21-021057 · rdgdoc.xml · nonDerivative · entry 4 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,444,193 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F6 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $11.17 to $12.165, 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 Read SEC document |
| August 25, 2021 Filed Aug 26, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 1,157 | $11.83 | $13,689.97 |
DisclosureSEC source: 0001437749-21-021057 · rdgdoc.xml · nonDerivative · entry 3 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,457,722 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F5 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $11.76 to $12.01, 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. Read SEC document |
| August 25, 2021 Filed Aug 26, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 13,843 | $11.45 | $158,563.26 |
DisclosureSEC source: 0001437749-21-021057 · rdgdoc.xml · nonDerivative · entry 2 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,458,879 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F4 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $10.76 to $11.755, 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. Read SEC document |
| August 24, 2021 Filed Aug 26, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 15,000 | $10.91 | $163,674.00 |
DisclosureSEC source: 0001437749-21-021057 · rdgdoc.xml · nonDerivative · entry 1 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,472,722 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F3 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $10.59 to $11.54, 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. Read SEC document |
| August 23, 2021 Filed Aug 23, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 230 | $11.65 | $2,680.03 |
DisclosureSEC source: 0001437749-21-020776 · rdgdoc.xml · nonDerivative · entry 8 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,487,722 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F10 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $11.65 to $11.69, 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. Read SEC document |
| August 23, 2021 Filed Aug 23, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 14,770 | $11.09 | $163,796.35 |
DisclosureSEC source: 0001437749-21-020776 · rdgdoc.xml · nonDerivative · entry 7 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,487,952 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F9 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $10.65 to $11.49, 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. Read SEC document |
| August 20, 2021 Filed Aug 23, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 13,062 | $11.16 | $145,821.56 |
DisclosureSEC source: 0001437749-21-020776 · rdgdoc.xml · nonDerivative · entry 6 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,502,722 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F8 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $10.60 to $11.56, 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. Read SEC document |
| August 20, 2021 Filed Aug 23, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 1,938 | $10.39 | $20,142.02 |
DisclosureSEC source: 0001437749-21-020776 · rdgdoc.xml · nonDerivative · entry 5 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,515,784 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F7 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $9.60 to $10.595, 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. Read SEC document |
| August 19, 2021 Filed Aug 23, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 1,130 | $14.73 | $16,648.40 |
DisclosureSEC source: 0001437749-21-020776 · rdgdoc.xml · nonDerivative · entry 4 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,517,722 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F6 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $14.54 to $15.33, 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. Read SEC document |
| August 19, 2021 Filed Aug 23, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 3,215 | $14.06 | $45,206.76 |
DisclosureSEC source: 0001437749-21-020776 · rdgdoc.xml · nonDerivative · entry 3 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,518,852 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F5 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $13.58 to $14.535, 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. Read SEC document |
| August 19, 2021 Filed Aug 23, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 4,991 | $13.04 | $65,065.67 |
DisclosureSEC source: 0001437749-21-020776 · rdgdoc.xml · nonDerivative · entry 2 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,522,067 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F4 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $12.54 to $13.505, 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. Read SEC document |
| August 19, 2021 Filed Aug 23, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 5,664 | $11.85 | $67,106.51 |
DisclosureSEC source: 0001437749-21-020776 · rdgdoc.xml · nonDerivative · entry 1 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,527,058 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F3 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $11.54 to $12.535, 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. Read SEC document |
| August 18, 2021 Filed Aug 18, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 3,689 | $21.73 | $80,146.85 |
DisclosureSEC source: 0001437749-21-020459 · rdgdoc.xml · nonDerivative · entry 6 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,532,722 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F8 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $21.625 to $21.94, 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. Read SEC document |
| August 18, 2021 Filed Aug 18, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 11,311 | $21.20 | $239,822.61 |
DisclosureSEC source: 0001437749-21-020459 · rdgdoc.xml · nonDerivative · entry 5 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,536,411 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F7 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $20.63 to $21.62, 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. Read SEC document |
| August 17, 2021 Filed Aug 18, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 6,196 | $21.98 | $136,171.35 |
DisclosureSEC source: 0001437749-21-020459 · rdgdoc.xml · nonDerivative · entry 4 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,547,722 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F6 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $21.535 to $22.44, 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. Read SEC document |
| August 17, 2021 Filed Aug 18, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 8,804 | $20.96 | $184,552.09 |
DisclosureSEC source: 0001437749-21-020459 · rdgdoc.xml · nonDerivative · entry 3 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,553,918 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F5 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $20.54 to $21.53, 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. Read SEC document |
| August 16, 2021 Filed Aug 18, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 1,860 | $23.56 | $43,816.21 |
DisclosureSEC source: 0001437749-21-020459 · rdgdoc.xml · nonDerivative · entry 2 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,562,722 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F4 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $23.48 to $23.64, 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. Read SEC document |
| August 16, 2021 Filed Aug 18, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 13,140 | $23.16 | $304,367.08 |
DisclosureSEC source: 0001437749-21-020459 · rdgdoc.xml · nonDerivative · entry 1 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,564,582 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on August 13, 2021. F3 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $22.485 to $23.475, 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. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherWarrants to Purchase · Derivative | 36,275 | $0.00 Strike: $4.80 | $0.00 |
DisclosureSEC source: 0001437749-21-019935 · rdgdoc.xml · derivative · entry 21 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 0 Underlying: Common Stock · 36,275 shares Expires 2022-04-13 F1 · security: 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. F2 · derivative.exercise_price: After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017. F2 · shares: After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017. F2 · derivative.underlying_shares: After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherWarrants to Purchase · Derivative | 49,020 | $0.00 Strike: $4.80 | $0.00 |
DisclosureSEC source: 0001437749-21-019935 · rdgdoc.xml · derivative · entry 20 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 0 Underlying: Common Stock · 49,020 shares Expires 2022-03-28 F1 · security: 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. F2 · derivative.exercise_price: After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017. F2 · shares: After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017. F2 · derivative.underlying_shares: After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherWarrants to Purchase · Derivative | 49,020 | $0.00 Strike: $4.80 | $0.00 |
DisclosureSEC source: 0001437749-21-019935 · rdgdoc.xml · derivative · entry 19 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 0 Underlying: Common Stock · 49,020 shares Expires 2022-03-06 F1 · security: 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. F2 · derivative.exercise_price: After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017. F2 · shares: After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017. F2 · derivative.underlying_shares: After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherWarrants to Purchase · Derivative | 61,765 | $0.00 Strike: $4.80 | $0.00 |
DisclosureSEC source: 0001437749-21-019935 · rdgdoc.xml · derivative · entry 18 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 0 Underlying: Common Stock · 61,765 shares Expires 2022-02-17 F1 · security: 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. F2 · derivative.exercise_price: After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017. F2 · shares: After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017. F2 · derivative.underlying_shares: After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherWarrants to Purchase · Derivative | 137,883 | $0.00 Strike: $4.80 | $0.00 |
DisclosureSEC source: 0001437749-21-019935 · rdgdoc.xml · derivative · entry 17 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 0 Underlying: Common Stock · 137,883 shares Expires 2022-01-31 F1 · security: 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. F2 · derivative.exercise_price: After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017. F2 · shares: After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017. F2 · derivative.underlying_shares: After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherWarrants to Purchase · Derivative | 58,824 | $0.00 Strike: $4.80 | $0.00 |
DisclosureSEC source: 0001437749-21-019935 · rdgdoc.xml · derivative · entry 16 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 0 Underlying: Common Stock · 58,824 shares Expires 2022-01-31 F1 · security: 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. F2 · derivative.exercise_price: After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017. F2 · shares: After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017. F2 · derivative.underlying_shares: After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherWarrants to Purchase · Derivative | 170,473 | $0.00 Strike: $4.80 | $0.00 |
DisclosureSEC source: 0001437749-21-019935 · rdgdoc.xml · derivative · entry 15 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 0 Underlying: Common Stock · 170,473 shares Expires 2021-12-15 F1 · security: 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. F2 · derivative.exercise_price: After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017. F2 · shares: After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017. F2 · derivative.underlying_shares: After giving effect to a 1:6 reverse stock split conducted by the issuer on April 25, 2017. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 6,420 | $27.12 | $174,100.77 |
DisclosureSEC source: 0001437749-21-019935 · rdgdoc.xml · nonDerivative · entry 14 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,577,722 F1 · security: 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. F9 · 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. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 8,676 | $27.12 | $235,280.11 |
DisclosureSEC source: 0001437749-21-019935 · rdgdoc.xml · nonDerivative · entry 13 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,584,142 F1 · security: 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. F8 · 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. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 8,676 | $27.12 | $235,280.11 |
DisclosureSEC source: 0001437749-21-019935 · rdgdoc.xml · nonDerivative · entry 12 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,592,818 F1 · security: 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. F7 · 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. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 10,932 | $27.12 | $296,459.44 |
DisclosureSEC source: 0001437749-21-019935 · rdgdoc.xml · nonDerivative · entry 11 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,601,494 F1 · security: 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. F6 · 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. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 24,405 | $27.12 | $661,826.99 |
DisclosureSEC source: 0001437749-21-019935 · rdgdoc.xml · nonDerivative · entry 10 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,612,426 F1 · security: 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. F5 · 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. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 10,411 | $27.12 | $282,330.70 |
DisclosureSEC source: 0001437749-21-019935 · rdgdoc.xml · nonDerivative · entry 9 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,636,831 F1 · security: 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. F4 · 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. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 30,173 | $27.12 | $818,246.50 |
DisclosureSEC source: 0001437749-21-019935 · rdgdoc.xml · nonDerivative · entry 8 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,647,242 F1 · security: 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. F3 · shares: 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. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherCommon Stock | 36,275 | $4.80 | $174,120.00 |
DisclosureSEC source: 0001437749-21-019935 · rdgdoc.xml · nonDerivative · entry 7 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,677,415 F1 · security: 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. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherCommon Stock | 49,020 | $4.80 | $235,296.00 |
DisclosureSEC source: 0001437749-21-019935 · rdgdoc.xml · nonDerivative · entry 6 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,641,140 F1 · security: 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. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherCommon Stock | 49,020 | $4.80 | $235,296.00 |
DisclosureSEC source: 0001437749-21-019935 · rdgdoc.xml · nonDerivative · entry 5 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,592,120 F1 · security: 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. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherCommon Stock | 61,765 | $4.80 | $296,472.00 |
DisclosureSEC source: 0001437749-21-019935 · rdgdoc.xml · nonDerivative · entry 4 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,543,100 F1 · security: 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. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherCommon Stock | 137,883 | $4.80 | $661,838.40 |
DisclosureSEC source: 0001437749-21-019935 · rdgdoc.xml · nonDerivative · entry 3 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,481,335 F1 · security: 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. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherCommon Stock | 58,824 | $4.80 | $282,355.20 |
DisclosureSEC source: 0001437749-21-019935 · rdgdoc.xml · nonDerivative · entry 2 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,343,452 F1 · security: 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. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherCommon Stock | 170,473 | $4.80 | $818,270.40 |
DisclosureSEC source: 0001437749-21-019935 · rdgdoc.xml · nonDerivative · entry 1 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,284,628 F1 · security: 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. Read SEC document |
| July 20, 2021 Filed Jul 20, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 4,091 | $28.30 | $115,790.03 |
DisclosureSEC source: 0001437749-21-017249 · rdgdoc.xml · nonDerivative · entry 2 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,114,155 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on May 10, 2021. F4 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $28.06 to $28.62, 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. Read SEC document |
| July 20, 2021 Filed Jul 20, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 2,972 | $27.42 | $81,495.21 |
DisclosureSEC source: 0001437749-21-017249 · rdgdoc.xml · nonDerivative · entry 1 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,118,246 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on May 10, 2021. F3 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $27.00 to $27.80, 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. Read SEC document |
| July 19, 2021 Filed Jul 19, 2021 21:47 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 2,937 | $28.07 | $82,441.59 |
DisclosureSEC source: 0001437749-21-017170 · rdgdoc.xml · nonDerivative · entry 6 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,121,218 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on May 10, 2021. F8 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $27.90 to $28.35, 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. Read SEC document |
| July 19, 2021 Filed Jul 19, 2021 21:47 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 8,063 | $27.31 | $220,186.82 |
DisclosureSEC source: 0001437749-21-017170 · rdgdoc.xml · nonDerivative · entry 5 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,124,155 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on May 10, 2021. F7 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $26.875 to $27.83, 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. Read SEC document |
| July 15, 2021 Filed Jul 19, 2021 21:47 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 1,600 | $28.22 | $45,156.16 |
DisclosureSEC source: 0001437749-21-017170 · rdgdoc.xml · nonDerivative · entry 4 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,132,218 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on May 10, 2021. F6 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $28.06 to $28.48, 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. Read SEC document |
| July 15, 2021 Filed Jul 19, 2021 21:47 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 9,400 | $27.65 | $259,942.90 |
DisclosureSEC source: 0001437749-21-017170 · rdgdoc.xml · nonDerivative · entry 3 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,133,818 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on May 10, 2021. F5 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $27.05 to $28.04, 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. Read SEC document |
| July 14, 2021 Filed Jul 14, 2021 21:45 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 2,685 | $29.46 | $79,090.97 |
DisclosureSEC source: 0001437749-21-016948 · rdgdoc.xml · nonDerivative · entry 7 PEIZER TERREN S · CIK 0000904534 · Director · Executive Chairman · 10% owner Acuitas Group Holdings, LLC · CIK 0001797168 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 9,154,218 F1 · security: 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. F2 · shares: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on May 10, 2021. F7 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $29.30 to $29.87, 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.