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person · Reporting owner

PEIZER TERREN S

Disclosed activity across 3 companies

Tapewire entity
78208
SEC CIK
0000904534

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
BIOVIE INC.BIVI · Entity 7702Director · 10% ownerNovember 23, 2022January 18, 2023
EVmo, Inc.YAYO · Entity 117051Director · 10% ownerMay 18, 2022May 19, 2022
Ontrak, Inc.OTRK · Entity 7820710% ownerJune 20, 2025June 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
STOCK OPTION (RIGHT TO BUY)SEC Table II · derivative / convertible security · Conversion / exercise price $6.12 · Expires 2032-11-23Direct65,000 Reported balance After 2022-11-23 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Acuitas12,616,819 Reported balance After 2022-05-18 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Humanitario2,305,480 Reported balance After 2025-06-20 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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 $0.00IndirectBy Humanitario799,575 Reported balance After 2025-06-20 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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

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Purchases/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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
May 20, 2021 Filed May 21, 2021 21:46 UTC Ontrak, Inc. OTRK · Entity 78207 SaleCommon Stock 4,130 $31.27 $129,151.30
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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May 10, 2021 Filed May 11, 2021 17:36 UTC Ontrak, Inc. OTRK · Entity 78207 OtherCommon Stock 187,002 $1.80 $336,603.60
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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.

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March 01, 2021 Filed Mar 2, 2021 15:20 UTC EVmo, Inc. OTC:YAYO · Entity 117051 OtherCommon Stock 825,000 Not disclosed Not disclosed
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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December 14, 2020 Filed May 11, 2021 17:36 UTC Ontrak, Inc. OTRK · Entity 78207 OtherCommon Stock 1 $0.00 $0.00
Disclosure

SEC 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.

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December 14, 2020 Filed May 11, 2021 17:36 UTC Ontrak, Inc. OTRK · Entity 78207 OtherCommon Stock 9,256 $0.00 $0.00
Disclosure

SEC 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.

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December 14, 2020 Filed May 11, 2021 17:36 UTC Ontrak, Inc. OTRK · Entity 78207 OtherCommon Stock 86,267 $0.00 $0.00
Disclosure

SEC 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.

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December 14, 2020 Filed May 11, 2021 17:36 UTC Ontrak, Inc. OTRK · Entity 78207 OtherCommon Stock 257,222 $0.00 $0.00
Disclosure

SEC 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.

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December 14, 2020 Filed May 11, 2021 17:36 UTC Ontrak, Inc. OTRK · Entity 78207 OtherCommon Stock 1,875 $0.00 $0.00
Disclosure

SEC 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.

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October 06, 2020 Filed May 11, 2021 17:36 UTC Ontrak, Inc. OTRK · Entity 78207 GiftCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC 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.

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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
Disclosure

SEC 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
Disclosure

SEC 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.