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 |
|---|---|---|---|---|---|---|
| May 20, 2021 Filed May 21, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 4,130 | $31.27 | $129,151.30 |
DisclosureSEC source: 0001437749-21-013079 · 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: 9,629,382 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 $30.69 to $31.66, 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. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 132 | $31.20 | $4,118.40 |
DisclosureSEC source: 0001437749-21-013079 · 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: 9,633,512 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. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 10,868 | $30.69 | $333,567.18 |
DisclosureSEC source: 0001437749-21-013079 · 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: 9,633,644 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 $30.18 to $31.13, 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 |
| May 18, 2021 Filed May 18, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 2,923 | $32.49 | $94,977.92 |
DisclosureSEC source: 0001104659-21-069038 · tm2116914-1_4seq1.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: 9,644,512 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. F9 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $32.39 to $32.70, 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 |
| May 18, 2021 Filed May 18, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 8,077 | $32.00 | $258,448.65 |
DisclosureSEC source: 0001104659-21-069038 · tm2116914-1_4seq1.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: 9,647,435 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 $31.39 to $32.38, 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 |
| May 17, 2021 Filed May 18, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 2,800 | $32.68 | $91,497.00 |
DisclosureSEC source: 0001104659-21-069038 · tm2116914-1_4seq1.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: 9,655,512 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 $32.56 to $32.88, 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 |
| May 17, 2021 Filed May 18, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 8,200 | $32.04 | $262,712.42 |
DisclosureSEC source: 0001104659-21-069038 · tm2116914-1_4seq1.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: 9,658,312 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 $31.56 to $32.55, 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 |
| May 14, 2021 Filed May 18, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 5,775 | $32.09 | $185,330.15 |
DisclosureSEC source: 0001104659-21-069038 · tm2116914-1_4seq1.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: 9,666,512 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 $31.74 to $32.42, 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 |
| May 14, 2021 Filed May 18, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 2,200 | $31.35 | $68,979.46 |
DisclosureSEC source: 0001104659-21-069038 · tm2116914-1_4seq1.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: 9,672,287 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 $30.87 to $31.70, 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 |
| May 14, 2021 Filed May 18, 2021 21:46 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 3,025 | $30.32 | $91,706.81 |
DisclosureSEC source: 0001104659-21-069038 · tm2116914-1_4seq1.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: 9,674,487 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 $29.73 to $30.72, 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 |
| May 13, 2021 Filed May 13, 2021 21:58 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 3,100 | $31.93 | $98,988.27 |
DisclosureSEC source: 0001104659-21-066223 · tm2116374-1_4seq1.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: 9,677,512 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: This Form 4 also corrects the total number of shares of the issuer's common stock beneficially owned by the Reporting Persons following the exercise of all warrants reported on the May 11 Form 4 (net of the issuer's withholding of an aggregate of 89,572 shares in respect of the exercise prices for such warrants), which was incorrectly reported on the May 11 Form 4 as 9,709,882 shares. In fact, as reported in this Form 4, following the exercise of all such warrants on May 10, 2021 (and after giving effect to the issuer's withholding of shares in respect of the exercise prices for such warrants), the Reporting Persons beneficially owned an aggregate of 9,710,512 shares of the issuer's common stock. F13 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $31.530 to $32.335, 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 |
| May 13, 2021 Filed May 13, 2021 21:58 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 1,271 | $31.07 | $39,493.40 |
DisclosureSEC source: 0001104659-21-066223 · tm2116374-1_4seq1.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: 9,680,612 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: This Form 4 also corrects the total number of shares of the issuer's common stock beneficially owned by the Reporting Persons following the exercise of all warrants reported on the May 11 Form 4 (net of the issuer's withholding of an aggregate of 89,572 shares in respect of the exercise prices for such warrants), which was incorrectly reported on the May 11 Form 4 as 9,709,882 shares. In fact, as reported in this Form 4, following the exercise of all such warrants on May 10, 2021 (and after giving effect to the issuer's withholding of shares in respect of the exercise prices for such warrants), the Reporting Persons beneficially owned an aggregate of 9,710,512 shares of the issuer's common stock. F12 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $30.690 to $31.460, 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 |
| May 13, 2021 Filed May 13, 2021 21:58 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 6,629 | $29.92 | $198,368.85 |
DisclosureSEC source: 0001104659-21-066223 · tm2116374-1_4seq1.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: 9,681,883 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: This Form 4 also corrects the total number of shares of the issuer's common stock beneficially owned by the Reporting Persons following the exercise of all warrants reported on the May 11 Form 4 (net of the issuer's withholding of an aggregate of 89,572 shares in respect of the exercise prices for such warrants), which was incorrectly reported on the May 11 Form 4 as 9,709,882 shares. In fact, as reported in this Form 4, following the exercise of all such warrants on May 10, 2021 (and after giving effect to the issuer's withholding of shares in respect of the exercise prices for such warrants), the Reporting Persons beneficially owned an aggregate of 9,710,512 shares of the issuer's common stock. F11 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $29.510 to $30.500, 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 |
| May 13, 2021 Filed May 14, 2021 21:46 UTC Amendment | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 3,100 | $31.93 | $98,988.27 |
DisclosureSEC source: 0001104659-21-067155 · tm2116374-3_4aseq1.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: 9,677,512 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: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on May 10, 2021. The shares sold pursuant to such sales were acquired by Acuitas pursuant to the exercise of warrants held by Acuitas on May 10, 2021, which warrants were set to expire on August 15, 2021 and August 30, 2021. F14 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $31.530 to $32.335, 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 |
| May 13, 2021 Filed May 14, 2021 21:46 UTC Amendment | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 1,271 | $31.07 | $39,493.40 |
DisclosureSEC source: 0001104659-21-067155 · tm2116374-3_4aseq1.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: 9,680,612 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: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on May 10, 2021. The shares sold pursuant to such sales were acquired by Acuitas pursuant to the exercise of warrants held by Acuitas on May 10, 2021, which warrants were set to expire on August 15, 2021 and August 30, 2021. F13 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $30.690 to $31.460, 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 |
| May 13, 2021 Filed May 14, 2021 21:46 UTC Amendment | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 6,629 | $29.92 | $198,368.85 |
DisclosureSEC source: 0001104659-21-067155 · tm2116374-3_4aseq1.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: 9,681,883 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: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on May 10, 2021. The shares sold pursuant to such sales were acquired by Acuitas pursuant to the exercise of warrants held by Acuitas on May 10, 2021, which warrants were set to expire on August 15, 2021 and August 30, 2021. F12 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $29.510 to $30.500, 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 |
| May 12, 2021 Filed May 13, 2021 21:58 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 4,500 | $31.96 | $143,810.10 |
DisclosureSEC source: 0001104659-21-066223 · tm2116374-1_4seq1.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: 9,688,512 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: This Form 4 also corrects the total number of shares of the issuer's common stock beneficially owned by the Reporting Persons following the exercise of all warrants reported on the May 11 Form 4 (net of the issuer's withholding of an aggregate of 89,572 shares in respect of the exercise prices for such warrants), which was incorrectly reported on the May 11 Form 4 as 9,709,882 shares. In fact, as reported in this Form 4, following the exercise of all such warrants on May 10, 2021 (and after giving effect to the issuer's withholding of shares in respect of the exercise prices for such warrants), the Reporting Persons beneficially owned an aggregate of 9,710,512 shares of the issuer's common stock. F10 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $31.710 to $32.490, 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 |
| May 12, 2021 Filed May 13, 2021 21:58 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 6,500 | $31.27 | $203,284.25 |
DisclosureSEC source: 0001104659-21-066223 · tm2116374-1_4seq1.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: 9,693,012 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: This Form 4 also corrects the total number of shares of the issuer's common stock beneficially owned by the Reporting Persons following the exercise of all warrants reported on the May 11 Form 4 (net of the issuer's withholding of an aggregate of 89,572 shares in respect of the exercise prices for such warrants), which was incorrectly reported on the May 11 Form 4 as 9,709,882 shares. In fact, as reported in this Form 4, following the exercise of all such warrants on May 10, 2021 (and after giving effect to the issuer's withholding of shares in respect of the exercise prices for such warrants), the Reporting Persons beneficially owned an aggregate of 9,710,512 shares of the issuer's common stock. F9 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $30.710 to $31.660, 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 |
| May 12, 2021 Filed May 14, 2021 21:46 UTC Amendment | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 4,500 | $31.96 | $143,810.10 |
DisclosureSEC source: 0001104659-21-067155 · tm2116374-3_4aseq1.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: 9,688,512 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: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on May 10, 2021. The shares sold pursuant to such sales were acquired by Acuitas pursuant to the exercise of warrants held by Acuitas on May 10, 2021, which warrants were set to expire on August 15, 2021 and August 30, 2021. F11 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $31.710 to $32.490, 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 |
| May 12, 2021 Filed May 14, 2021 21:46 UTC Amendment | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 6,500 | $31.27 | $203,284.25 |
DisclosureSEC source: 0001104659-21-067155 · tm2116374-3_4aseq1.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: 9,693,012 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: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on May 10, 2021. The shares sold pursuant to such sales were acquired by Acuitas pursuant to the exercise of warrants held by Acuitas on May 10, 2021, which warrants were set to expire on August 15, 2021 and August 30, 2021. F10 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $30.710 to $31.660, 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 |
| May 11, 2021 Filed May 13, 2021 21:58 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 1,711 | $32.22 | $55,125.00 |
DisclosureSEC source: 0001104659-21-066223 · tm2116374-1_4seq1.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: 9,699,512 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: This Form 4 also corrects the total number of shares of the issuer's common stock beneficially owned by the Reporting Persons following the exercise of all warrants reported on the May 11 Form 4 (net of the issuer's withholding of an aggregate of 89,572 shares in respect of the exercise prices for such warrants), which was incorrectly reported on the May 11 Form 4 as 9,709,882 shares. In fact, as reported in this Form 4, following the exercise of all such warrants on May 10, 2021 (and after giving effect to the issuer's withholding of shares in respect of the exercise prices for such warrants), the Reporting Persons beneficially owned an aggregate of 9,710,512 shares of the issuer's common stock. F8 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $32.120 to $32.290, 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 |
| May 11, 2021 Filed May 13, 2021 21:58 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 2,700 | $31.63 | $85,399.11 |
DisclosureSEC source: 0001104659-21-066223 · tm2116374-1_4seq1.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: 9,701,223 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: This Form 4 also corrects the total number of shares of the issuer's common stock beneficially owned by the Reporting Persons following the exercise of all warrants reported on the May 11 Form 4 (net of the issuer's withholding of an aggregate of 89,572 shares in respect of the exercise prices for such warrants), which was incorrectly reported on the May 11 Form 4 as 9,709,882 shares. In fact, as reported in this Form 4, following the exercise of all such warrants on May 10, 2021 (and after giving effect to the issuer's withholding of shares in respect of the exercise prices for such warrants), the Reporting Persons beneficially owned an aggregate of 9,710,512 shares of the issuer's common stock. F7 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $31.220 to $32.080, 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 |
| May 11, 2021 Filed May 13, 2021 21:58 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 2,089 | $30.58 | $63,891.65 |
DisclosureSEC source: 0001104659-21-066223 · tm2116374-1_4seq1.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: 9,703,923 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: This Form 4 also corrects the total number of shares of the issuer's common stock beneficially owned by the Reporting Persons following the exercise of all warrants reported on the May 11 Form 4 (net of the issuer's withholding of an aggregate of 89,572 shares in respect of the exercise prices for such warrants), which was incorrectly reported on the May 11 Form 4 as 9,709,882 shares. In fact, as reported in this Form 4, following the exercise of all such warrants on May 10, 2021 (and after giving effect to the issuer's withholding of shares in respect of the exercise prices for such warrants), the Reporting Persons beneficially owned an aggregate of 9,710,512 shares of the issuer's common stock. F6 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $30.130 to $31.000, 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 |
| May 11, 2021 Filed May 13, 2021 21:58 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 3,401 | $29.47 | $100,229.17 |
DisclosureSEC source: 0001104659-21-066223 · tm2116374-1_4seq1.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: 9,706,012 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: This Form 4 also corrects the total number of shares of the issuer's common stock beneficially owned by the Reporting Persons following the exercise of all warrants reported on the May 11 Form 4 (net of the issuer's withholding of an aggregate of 89,572 shares in respect of the exercise prices for such warrants), which was incorrectly reported on the May 11 Form 4 as 9,709,882 shares. In fact, as reported in this Form 4, following the exercise of all such warrants on May 10, 2021 (and after giving effect to the issuer's withholding of shares in respect of the exercise prices for such warrants), the Reporting Persons beneficially owned an aggregate of 9,710,512 shares of the issuer's common stock. F5 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $29.120 to $30.050, 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 |
| May 11, 2021 Filed May 13, 2021 21:58 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 1,099 | $28.71 | $31,553.39 |
DisclosureSEC source: 0001104659-21-066223 · tm2116374-1_4seq1.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: 9,709,413 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: This Form 4 also corrects the total number of shares of the issuer's common stock beneficially owned by the Reporting Persons following the exercise of all warrants reported on the May 11 Form 4 (net of the issuer's withholding of an aggregate of 89,572 shares in respect of the exercise prices for such warrants), which was incorrectly reported on the May 11 Form 4 as 9,709,882 shares. In fact, as reported in this Form 4, following the exercise of all such warrants on May 10, 2021 (and after giving effect to the issuer's withholding of shares in respect of the exercise prices for such warrants), the Reporting Persons beneficially owned an aggregate of 9,710,512 shares of the issuer's common stock. F4 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $28.090 to $29.070, 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 |
| May 11, 2021 Filed May 14, 2021 21:46 UTC Amendment | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 1,711 | $32.22 | $55,125.00 |
DisclosureSEC source: 0001104659-21-067155 · tm2116374-3_4aseq1.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: 9,699,512 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: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on May 10, 2021. The shares sold pursuant to such sales were acquired by Acuitas pursuant to the exercise of warrants held by Acuitas on May 10, 2021, which warrants were set to expire on August 15, 2021 and August 30, 2021. F9 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $32.120 to $32.290, 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 |
| May 11, 2021 Filed May 14, 2021 21:46 UTC Amendment | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 2,700 | $31.63 | $85,399.11 |
DisclosureSEC source: 0001104659-21-067155 · tm2116374-3_4aseq1.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: 9,701,223 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: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on May 10, 2021. The shares sold pursuant to such sales were acquired by Acuitas pursuant to the exercise of warrants held by Acuitas on May 10, 2021, which warrants were set to expire on August 15, 2021 and August 30, 2021. F8 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $31.220 to $32.080, 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 |
| May 11, 2021 Filed May 14, 2021 21:46 UTC Amendment | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 2,089 | $30.58 | $63,891.65 |
DisclosureSEC source: 0001104659-21-067155 · tm2116374-3_4aseq1.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: 9,703,923 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: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on May 10, 2021. The shares sold pursuant to such sales were acquired by Acuitas pursuant to the exercise of warrants held by Acuitas on May 10, 2021, which warrants were set to expire on August 15, 2021 and August 30, 2021. F7 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $30.130 to $31.000, 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 |
| May 11, 2021 Filed May 14, 2021 21:46 UTC Amendment | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 3,401 | $29.47 | $100,229.17 |
DisclosureSEC source: 0001104659-21-067155 · tm2116374-3_4aseq1.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: 9,706,012 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: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on May 10, 2021. The shares sold pursuant to such sales were acquired by Acuitas pursuant to the exercise of warrants held by Acuitas on May 10, 2021, which warrants were set to expire on August 15, 2021 and August 30, 2021. F6 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $29.120 to $30.050, 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 |
| May 11, 2021 Filed May 14, 2021 21:46 UTC Amendment | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 1,099 | $28.71 | $31,553.39 |
DisclosureSEC source: 0001104659-21-067155 · tm2116374-3_4aseq1.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: 9,709,413 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: Represents sales effected pursuant to a Rule 10b5-1 trading plan entered into by Acuitas on May 10, 2021. The shares sold pursuant to such sales were acquired by Acuitas pursuant to the exercise of warrants held by Acuitas on May 10, 2021, which warrants were set to expire on August 15, 2021 and August 30, 2021. F5 · price: The price reported is a volume weighted average price. The shares were sold in multiple transactions at prices ranging from $28.090 to $29.070, 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 |
| May 10, 2021 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherWarrants to Purchase · Derivative | 498,297 | $0.00 Strike: $4.80 | $0.00 |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · derivative · entry 31 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 · 498,927 shares Expires 2021-08-15 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. F13 · derivative.exercise_price: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · derivative.underlying_shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. Read SEC document |
| May 10, 2021 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherWarrants to Purchase · Derivative | 187,002 | $0.00 Strike: $1.80 | $0.00 |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · derivative · entry 30 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 · 187,002 shares Expires 2021-08-30 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. F13 · derivative.exercise_price: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. F13 · derivative.underlying_shares: After giving effect to a 1:6 reverse stock split conducted by the issuer in April 25, 2017. Read SEC document |
| May 10, 2021 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 78,685 | $30.44 | $2,395,171.40 |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · nonDerivative · 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: 9,709,882 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. F22 · kind: On May 10, 2021, Acuitas exercised (i) a warrant to purchase 187,002 shares of the issuer's common stock for $1.80 per share and (ii) a warrant to purchase 498,297 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 an aggregate of warrant shares to pay the applicable exercise prices and issuing to Acuitas the remaining 89,572 shares in the aggregate. Read SEC document |
| May 10, 2021 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | SaleCommon Stock | 10,887 | $30.92 | $336,626.04 |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · nonDerivative · 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: 9,788,567 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. F22 · kind: On May 10, 2021, Acuitas exercised (i) a warrant to purchase 187,002 shares of the issuer's common stock for $1.80 per share and (ii) a warrant to purchase 498,297 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 an aggregate of warrant shares to pay the applicable exercise prices and issuing to Acuitas the remaining 89,572 shares in the aggregate. Read SEC document |
| May 10, 2021 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherCommon Stock | 498,297 | $4.80 | $2,391,825.60 |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · nonDerivative · 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: 9,799,454 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 |
| May 10, 2021 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherCommon Stock | 187,002 | $1.80 | $336,603.60 |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.xml · nonDerivative · 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: 9,301,157 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 |
| May 10, 2021 Filed May 13, 2021 21:58 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherWarrants to Purchase · Derivative | 498,927 | $0.00 Strike: $4.80 | $0.00 |
DisclosureSEC source: 0001104659-21-066223 · tm2116374-1_4seq1.xml · derivative · 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: 0 Underlying: Common Stock · 498,927 shares Expires 2021-08-15 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 · shares: On May 11, 2021, the Reporting Persons filed a Form 4 (the "May 11 Form 4") which incorrectly reported, due to a clerical error, that on May 10, 2021, Acuitas exercised, on a cashless basis, a warrant to purchase 498,297 shares of the issuer's common stock for $4.80 per share. In fact, as reported in this Form 4, on May 10, 2021, Acuitas exercised, on a cashless basis, a warrant to purchase 498,927 shares of the issuer's common stock (rather than 498,297 shares) for $4.80 per share. F3 · shares: This Form 4 also corrects the total number of shares of the issuer's common stock beneficially owned by the Reporting Persons following the exercise of all warrants reported on the May 11 Form 4 (net of the issuer's withholding of an aggregate of 89,572 shares in respect of the exercise prices for such warrants), which was incorrectly reported on the May 11 Form 4 as 9,709,882 shares. In fact, as reported in this Form 4, following the exercise of all such warrants on May 10, 2021 (and after giving effect to the issuer's withholding of shares in respect of the exercise prices for such warrants), the Reporting Persons beneficially owned an aggregate of 9,710,512 shares of the issuer's common stock. F2 · derivative.underlying_shares: On May 11, 2021, the Reporting Persons filed a Form 4 (the "May 11 Form 4") which incorrectly reported, due to a clerical error, that on May 10, 2021, Acuitas exercised, on a cashless basis, a warrant to purchase 498,297 shares of the issuer's common stock for $4.80 per share. In fact, as reported in this Form 4, on May 10, 2021, Acuitas exercised, on a cashless basis, a warrant to purchase 498,927 shares of the issuer's common stock (rather than 498,297 shares) for $4.80 per share. F3 · derivative.underlying_shares: This Form 4 also corrects the total number of shares of the issuer's common stock beneficially owned by the Reporting Persons following the exercise of all warrants reported on the May 11 Form 4 (net of the issuer's withholding of an aggregate of 89,572 shares in respect of the exercise prices for such warrants), which was incorrectly reported on the May 11 Form 4 as 9,709,882 shares. In fact, as reported in this Form 4, following the exercise of all such warrants on May 10, 2021 (and after giving effect to the issuer's withholding of shares in respect of the exercise prices for such warrants), the Reporting Persons beneficially owned an aggregate of 9,710,512 shares of the issuer's common stock. Read SEC document |
| May 10, 2021 Filed May 13, 2021 21:58 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherCommon Stock | 498,927 | $4.80 | $2,394,849.60 |
DisclosureSEC source: 0001104659-21-066223 · tm2116374-1_4seq1.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: 9,710,512 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: On May 11, 2021, the Reporting Persons filed a Form 4 (the "May 11 Form 4") which incorrectly reported, due to a clerical error, that on May 10, 2021, Acuitas exercised, on a cashless basis, a warrant to purchase 498,297 shares of the issuer's common stock for $4.80 per share. In fact, as reported in this Form 4, on May 10, 2021, Acuitas exercised, on a cashless basis, a warrant to purchase 498,927 shares of the issuer's common stock (rather than 498,297 shares) for $4.80 per share. F2 · balance_after: On May 11, 2021, the Reporting Persons filed a Form 4 (the "May 11 Form 4") which incorrectly reported, due to a clerical error, that on May 10, 2021, Acuitas exercised, on a cashless basis, a warrant to purchase 498,297 shares of the issuer's common stock for $4.80 per share. In fact, as reported in this Form 4, on May 10, 2021, Acuitas exercised, on a cashless basis, a warrant to purchase 498,927 shares of the issuer's common stock (rather than 498,297 shares) for $4.80 per share. Read SEC document |
| May 10, 2021 Filed May 14, 2021 21:46 UTC Amendment | Ontrak, Inc. OTRK · Entity 78207 | OtherWarrants to Purchase · Derivative | 498,927 | $0.00 Strike: $4.80 | $0.00 |
DisclosureSEC source: 0001104659-21-067155 · tm2116374-3_4aseq1.xml · derivative · 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: 0 Underlying: Common Stock · 498,927 shares Expires 2021-08-15 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 · shares: On May 11, 2021, the Reporting Persons filed a Form 4 (the "May 11 Form 4") which incorrectly reported, due to a clerical error, that on May 10, 2021, Acuitas exercised, on a cashless basis, a warrant to purchase 498,297 shares of the issuer's common stock for $4.80 per share. In fact, as reported in this Form 4, on May 10, 2021, Acuitas exercised, on a cashless basis, a warrant to purchase 498,927 shares of the issuer's common stock (rather than 498,297 shares) for $4.80 per share. F2 · derivative.underlying_shares: On May 11, 2021, the Reporting Persons filed a Form 4 (the "May 11 Form 4") which incorrectly reported, due to a clerical error, that on May 10, 2021, Acuitas exercised, on a cashless basis, a warrant to purchase 498,297 shares of the issuer's common stock for $4.80 per share. In fact, as reported in this Form 4, on May 10, 2021, Acuitas exercised, on a cashless basis, a warrant to purchase 498,927 shares of the issuer's common stock (rather than 498,297 shares) for $4.80 per share. Read SEC document |
| May 10, 2021 Filed May 14, 2021 21:46 UTC Amendment | Ontrak, Inc. OTRK · Entity 78207 | OtherCommon Stock | 498,927 | $4.80 | $2,394,849.60 |
DisclosureSEC source: 0001104659-21-067155 · tm2116374-3_4aseq1.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: 9,710,512 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: On May 11, 2021, the Reporting Persons filed a Form 4 (the "May 11 Form 4") which incorrectly reported, due to a clerical error, that on May 10, 2021, Acuitas exercised, on a cashless basis, a warrant to purchase 498,297 shares of the issuer's common stock for $4.80 per share. In fact, as reported in this Form 4, on May 10, 2021, Acuitas exercised, on a cashless basis, a warrant to purchase 498,927 shares of the issuer's common stock (rather than 498,297 shares) for $4.80 per share. F3 · balance_after: This Form 4 also corrects the total number of shares of the issuer's common stock beneficially owned by the Reporting Persons following the exercise of all warrants reported on the May 11 Form 4 (net of the issuer's withholding of an aggregate of 89,572 shares in respect of the exercise prices for such warrants), which was incorrectly reported on the May 11 Form 4 as 9,709,882 shares. In fact, as reported in this Form 4, following the exercise of all such warrants on May 10, 2021 (and after giving effect to the issuer's withholding of shares in respect of the exercise prices for such warrants), the Reporting Persons beneficially owned an aggregate of 9,710,512 shares of the issuer's common stock. Read SEC document |
| March 01, 2021 Filed Mar 2, 2021 15:20 UTC | EVmo, Inc. OTC:YAYO · Entity 117051 | OtherCommon Stock | 825,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-030662 · tm217592-3_4seq1.xml · nonDerivative · entry 2 PEIZER TERREN S · CIK 0000904534 · Director · Exe. Cha. of the Board of Dir. · 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: 10,055,512 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. The issuer's board of directors appointed Mr. Peizer as its Executive Chairman, effective as of February 26, 2021. F3 · price: Represents 825,000 shares issued by the issuer to Acuitas on March 1, 2021 pursuant to a settlement agreement and release, dated as of October 28, 2019. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 15:20 UTC | EVmo, Inc. OTC:YAYO · Entity 117051 | PurchaseCommon Stock | 6,000,000 | $1.00 | $6,000,000.00 |
DisclosureSEC source: 0001104659-21-030662 · tm217592-3_4seq1.xml · nonDerivative · entry 1 PEIZER TERREN S · CIK 0000904534 · Director · Exe. Cha. of the Board of Dir. · 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: 9,230,512 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. The issuer's board of directors appointed Mr. Peizer as its Executive Chairman, effective as of February 26, 2021. F2 · price: Represents 6,000,000 shares purchased by Acuitas from X, LLC for aggregate consideration that the parties have agreed to value as $6,000,0000 pursuant to an amended and restated purchase and sale agreement, dated as of February 22, 2021. Acuitas has reported its beneficial ownership of such shares on a Form 3 filed by Acuitas on the date hereof. Read SEC document |
| December 14, 2020 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherCommon Stock | 1 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.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: 9,114,155 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. F12 · ownership.nature: Represents the transfer of a share by Peizer, Ltd. to Acuitas for no consideration. Peizer, Ltd. is no longer in existence. Mr. Peizer previously exercised voting and investment power over any securities held for the accounts of Peizer, Ltd. Read SEC document |
| December 14, 2020 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherCommon Stock | 9,256 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.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: 9,114,155 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. F11 · ownership.nature: Represents a transfer of shares by Bonmore Capital LLC ("Bonmore") to Acuitas for no consideration. Bonmore is no longer in existence. Mr. Peizer previously exercised voting and investment power over any securities held for the accounts of Bonmore. Read SEC document |
| December 14, 2020 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherCommon Stock | 86,267 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.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: 9,114,155 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. F4 · ownership.nature: Represents a transfer of shares by Socius to Acuitas for no consideration. Read SEC document |
| December 14, 2020 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherCommon Stock | 257,222 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.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: 9,114,155 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. F8 · ownership.nature: Represents a transfer of shares by Crede III to Acuitas for no consideration. Read SEC document |
| December 14, 2020 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | OtherCommon Stock | 1,875 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.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: 9,114,155 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. F10 · ownership.nature: Represents a transfer of shares by Reserva Capital, LLC ("Reserva") to Acuitas for no consideration. Reserva is no longer in existence. Mr. Peizer previously exercised voting and investment power over any securities held for the accounts of Reserva. Read SEC document |
| October 06, 2020 Filed May 11, 2021 17:36 UTC | Ontrak, Inc. OTRK · Entity 78207 | GiftCommon Stock | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-064673 · tm2115699-4_4seq1.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: 9,114,155 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. F9 · ownership.nature: Represents a transfer of shares by Acuitas to Brianna Bell, an individual unaffiliated with Mr. Peizer and Acuitas, for no consideration. Read SEC document |
| September 22, 2020 Filed Aug 26, 2022 17:10 UTC | BIOVIE INC. BIVI · Entity 7702 | Exercise / conversionWarrants (right to buy) · Derivative | 299,750 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · derivative · entry 19 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 299,750 shares Expires 2025-07-13 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F11 · derivative.exercise_price: Exercisable at the lower of $4 (adjusted to reflect the Reverse Stock Split) or 80% of the offering price to the public in the Uplisting Offering. F8 · price: See Exhibit 99.1 F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| September 22, 2020 Filed Aug 26, 2022 17:10 UTC | BIOVIE INC. BIVI · Entity 7702 | Exercise / conversionWarrants (right to buy) · Derivative | 1,250,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · derivative · entry 18 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 1,250,000 shares Expires 2024-09-24 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F11 · derivative.exercise_price: Exercisable at the lower of $4 (adjusted to reflect the Reverse Stock Split) or 80% of the offering price to the public in the Uplisting Offering. F2 · shares: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F8 · price: See Exhibit 99.1 F2 · derivative.underlying_shares: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. 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.